Compliance - Internal Controller

2 semanas atrás

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 16.000 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 Control & Risk (C&R) Management Team lies under Porto’s Compliance department. The team reports directly to the Chief Compliance Officer (CCO) and functionally to Compliance Head Office (HO).
- The objective of the Control & Risk (C&R) Management Team is to perform monitoring and testing of key controls to assess the effectiveness of the control environment in ensuring regulatory risks are identified and reasonably mitigated.

The Internal Controller - Compliance Controls Testingwill support the Control & Risk (C&R) ManagementTeam in performing certain aspects of the Compliance Controls mandate. This role is primarily focused on conducting testing of First
- and Second-line controls. The testing involves developing and executing control-based reviews covering front office, middle office, and Compliance functions. This includes Global Markets, Investment Banking, Operations and Compliance. The individual will be responsible for developing control checklists and preparing written control reports, summarizing the controls tested and any tracking the completion of any corrective actions identified.

The individual may also be involved in supporting additional Control & Risk (C&R) Management Compliance Controls responsibilities, which could include participating in the Compliance Risk Assessments, responding to regulatory inquires and exams and providing monthly and quarterly Compliance metrics.

**Main tasks and goals**:
Control & Risk (C&R) Management is a second level control function responsible for undertaking controls to ensure regulatory risks are mitigated and contained. Compliance controls may issue corrective measures to mitigate risks, improve risk monitoring and enhance the control framework. The Internal Controller - Compliance Controls Testing will be responsible for the following:

- Perform control testing on the activities of the various platforms, involving:

- analysis of the applicable regulation and of the policies, procedures, and processes in place.
- organization of meetings with reviewed departments and presentation of the conclusions of the examinations;
- Plan, design and execute testing across first and second level controls and record the reviews in the Firm’s PREMS system;
- Prepare control checklists and final control reports for controls reviewed and present the results to senior management and coordinate corrective measures, where applicable;
- Follow-up on corrective measures raised during the testing process to validate the corrective measures have been remediated;
- Help prepare and report metrics tracking Compliance Controls progress to CCO and HO
- Assist in performing the annual control plan and tracking the status of the plan throughout the year
- Escalate any findings as needed and document according to the protocols and CC procedures
- Support the processes for proper reporting to senior management and regulatory authorities;
- Provide suggestions on how to improve and streamline current practices and methodologies;
Represent Natixis on industry bodies as agreed with the CCO or other stakeholders.

**Qualifications**:

- +3 years General work experience
- +3 years Compliance testing activities in a broker-dealer or banking entity
- +3 years sales, trading and structuring of securities and banking related products (project finance, aviation finance, trade finance, among others), including fixed income (ABS, CMBS, CLOs, credit, rates, foreign exchange), equities, commodities, and swaps/derivatives
- Knowledge of applicable regulation related to banking and capital market activities
- ** Fluent English (mandatory)**:

- Detail-oriented with strong analytical and organizational skills
- Strong communication (written/verbal) and presentation skills
- Strategic and goal-oriented focus
- Ability to proactively identify and analyse problems and propose solutions
- Ability to develop relationships across various

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