Compliance Officer

1 semana atrás

Porto, Porto, Portugal Natixis in Portugal Tempo inteiro
Company Description


Natixis in Portugal is fully integrated in the global organization of Natixis, a French multinational financial services firm specialized in Asset & Wealth Management, Corporate & Investment Banking, Insurance and Payments.

A subsidiary of Groupe BPCE, Natixis counts nearly employees across 38 countries.


Based in Porto, Natixis Centre of Expertise mission is to transform traditional banking by developing innovative solutions for the bank's business, operations and work culture worldwide, as a key driver of the company's culture of agility and innovation.

Teams of IT and Banking Support Activities work in an integrated, inclusive and transversal way, supporting all the business lines and country platforms.

Natixis in Portugal is the best combination of a "start-up mindset" with a large, solid structure.

Its unique culture gives true meaning to a "beyond banking" personality:
to be a real entrepreneur, self-challenging, ever striving to excel and go that extra mile.

Job Description:

Team presentation and main goal:


The Compliance area ensures business follows external as well as internal rules and policies, and also internal controls, protecting therefore business activities and employees from non-compliance risks.

At Natixis Portugal, Compliance provides specialized services for worldwide GFS and Groupe BPCE.


This role sits within the Core Compliance area and is primarily responsible for the coordination and administration of the Conduct program.

This includes tracking both conduct breaches as well as positive conduct behaviors, preparing monthly and quarterly reporting to different Conduct and Culture related Committees.

This position is responsible for identifying, developing and implementing enhancements and strategic initiatives for the Conduct Program. It also encompasses Conduct related metrics reporting and coordination of responses to potential breaches and positive conduct across several Business Units (e.g. Operations, IT, among others).


In addition, this role supports the Corporate Compliance Program development, help to optimize operational processes, and coordinate and collaborate with Head Office, if and when needed.

The Compliance Officer is also expected to act as a back-up for certain Core Compliance functions which may include analysing potential conflicts with employees ́ outside business interests, reviewing electronic communications, advising on personal account dealings, managing Compliance Training as well as supporting the registrations process for licensed employees.


Main tasks and goals:

The position manages the entire Conduct Program and underlying processes which include:

  • Organizing and preparing monthly and quarterly presentations for different Conduct oversight committees and act as secretary to these committees
  • Coordinating with other groups including but not limited to IT, Operations (among others) regarding potential policy breaches and associated actions and reportings, if needed
  • Communicating with individuals, managers, and senior management in relation to escalated cases to ensure awareness, establish proper and factual reporting and subsequent assessment
  • Working with HR and Communications to reward individuals recognized for positive behavior and agree on actions and associated communication
  • Producing, maintaining, and enhancing frequently recurring MIS reporting and conduct quantitative and/or qualitive analysis, which may include identifying trends, monitoring data, preparing dedicated reports and/or visualizations and providing recommendations
  • Providing support and guidance across business units as needed and with respect to the topics that are included in the Compliance Program. In particular, serve as a dedicated back up for registration and licensing of employees, advise on outside business interests, review electronic communications, process personal account dealings requests and facilitate, draft and conduct Compliance Training
  • Helping to optimize operational processes in the Compliance team
  • Performing monthly QA controls in relation to the ecommunications, as well as other areas as necessary
  • Assisting in responding to regulatory inquiries and in preparing regulatory filings and contributing to regulatory and internal audits examinations, as required
  • Drafting and updating Compliance related policies and procedures
  • Preparing training materials and providing training to employees with respect to the Compliance Program

Qualifications:

- +3 years in compliance and/or project management experience, including gathering, collating, tracking and reporting data. Compliance and Conduct tracking experience at an investment bank is a plus.

  • 13 years experience in reporting to senior management committees and/or as Governance Committees Secretary
  • 13 years Experience in Core Compliance functions, including registration, personal account dealing, outside business interests, Training and

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