As Compliance Monitoring Officer, you will become part of a European cross locations Compliance Monitoring & Surveillance team of 10, currently operating in Luxembourg, Munich, Amsterdam and Brussels.
The Compliance Monitoring & Surveillance team is responsible for the Compliance Monitoring Program in topics such as Investor Protection (Mifid), Market Abuse, Conflicts of interests, Special investigations (whistleblowers/ fraud) and other ethics topics. The team is a mix of age and background.
The Compliance Monitoring & Surveillance team operates within the larger Group Compliance function (second line of defense) focusing on topics such as Anti Money Laundering, Compliance Advisory and Training. The Compliance function operates within “the matrix” and is thus fully independent from the business.
The main purpose of the function is to undertake a range of compliance monitoring activities, to detect and report compliance risks and to recommend corrective actions where needed.