Compliance Monitoring Director

InsingerGilissen, Amsterdam, NLD, 1017 BV
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Purpose of the Job

 

The main purpose of the function is to undertake a range of compliance monitoring activities in the second line of defense in the areas of Investor Protection (Mifid) and Ethics. To detect and report compliance risks within Quintet Europe and to recommend corrective actions where needed.

Key Accountabilities

 

  • Execution of the Compliance Monitoring Program controls for InsingerGilissen in the areas of Investor Protection and Ethics
  • Issuing reports of test results with recommendations for local management
  • Drafting quarterly test reports.
  • Perform  activities independently and with team members. Your focus will be on The Nethelands.
  • Create reports of completed monitoring and testing activities at entity level
  • Update stakeholders on the progress of activities and findings with reports, meetings and presentations; and escalate significant findings to management.
  • To participate in Group wide controls
  • Contribute to the work of the Compliance monitoring department in any other ways reasona-bly expected, including participating in projects and working groups and assisting with other priorities in the department
  • You will work in close collaboration with other Compliance monitoring officers working in the Netherlands and abroad 

Knowledge and Experience

 

  • At least 7 years of relevant experience within financial services or public accounting or consultancy services
  • Effective planning and organization skills, with ability to manage a broad range of activities with sustained momentum and timely delivery
  • Collaborative and supportive team player, with strong work ethic and critical thinking
  • Problem solving, analysis and reporting skills
  • Excellent verbal and written communication and interpersonal skills

Attributes and Qualities

 

The preferred candidate has proven knowledge of- and experience with audit and/ or monitoring processes. This includes planning, risk analysis, test set up and execution, test reporting, making sound recommendations and follow up monitoring. Ideally you have previously worked in a big-4 or Internal Audit department. 

  • University degree in audit, business, economics, account-ing, finance, and/or law
  • Strong knowledge and experience of audit or testing methodology

Technical Skills

 

  • Advanced level of Excel, good ability for information technology

Languages Skills

 

  • Fluent in English and Dutch
     
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