Compliance Monitoring Officer

Quintet Luxembourg, Luxembourg, LUX, L-2955
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Purpose of the Job

The main purpose of the function is to support and oversee the execution of compliance monitoring activities within the Quintet Group.

 

Key Accountabilities

  • Drive the annual formal identification and assessment of compliance risks faced by the Group Quintet. Combine top town identification of key risks by Group Compliance experts with bottom up identification and assessment of risks by the different locations from the Quintet Group.   
  • Coordinate the elaboration of the Compliance Monitoring Programs for all locations of the Quintet Group. Review consistency and ensure all key areas resulting from the compliance risks assessment or regulators expectations are dully covered.
  • Support the quality and harmonization in the execution of Compliance monitoring activities through the Group. Provide guidance to monitoring officers for control activities on selected key topics. Ensure these guidance are applied on a consistent way through regular contact with locations’ monitoring officers.
  • Oversee the completion of the Compliance Monitoring Programs across the Group. Ensure control activities are executed as agreed. Escalate any issue to Head of Group Compliance Monitoring & Surveillance. Provide relevant dashboards to Senior Management.
  • On a punctual basis, participate in the execution of on-site quality reviews on selected topics (can be in any location from the Group).
  • Track the implementation of corrective actions resulting from Compliance monitoring activities and provide relevant and risk based status report to Senior Management.
  • Be obsessed by the continuous improvement of the compliance monitoring framework, on both effectiveness / coverage and efficiency. Be receptive to proposals from other colleagues (Senior Management, locations’ Compliance Officers, etc) and make proposition to the Group Head of Monitoring & Surveillance and to the Group Chief Compliance Officer. Participate in the improvement of Compliance monitoring frameworks.
  • Coordinate all kind of information requests from regulators. Contribute to the work of the Compliance department in any other ways reasonably expected, including participating in projects and working groups and assisting with other priorities in the department or group as a whole.

Knowledge and Experience

  • University degree in business, economics, accounting, finance, and/or law
  • Strong knowledge and experience of audit or testing methodology
  • Generalist compliance and regulatory knowledge
  • At least 6 years of relevant experience within financial services or public accounting or consultancy services
  • Advanced level of Excel, excellent ability for information technology
  • Fluent in English and French. Knowledge of Dutch / German is a plus.

Attributes and Qualities

  • 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
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