Regulatory Compliance Advisor

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programs.

 Quintet is looking for an experienced regulatory compliance officer to form part of the Luxembourg & Denmark Compliance Team, as well as assisting other regulatory compliance advisers in all locations in which Quintet operates. The successful candidate will form part of a Compliance function, whose key role is enabling the bank to deliver good outcomes for their clients at the highest possible regulatory and market standards. 

The principal duty of the job holder is providing regulatory compliance advice to colleagues in the different lines of business within Quintet Luxembourg & Denmark. This includes (list is non-exhaustive): Conduct of Business, Investor Protection, Market Abuse, Sustainable Finance and Cross-Border compliance.   

The job holder will also work closely with other regulatory compliance advisers from the EU and the UK as part of the Group Regulatory Compliance Team to ensure the Compliance function speaks with one voice. The remit of the role covers the areas of Private Banking and Wealth Management, Financial Intermediaries Markets and Asset Servicing. The job holder will have two reporting lines: a hierarchical reporting line to the Luxembourg & Denmark Chief Compliance Officer, and a functional reporting line to the Group Head of Regulatory Compliance. 

Key Accountabilities

• Assisting in the design and maintenance of Quintet’s regulatory compliance policy framework. 
• Supporting Quintet business areas on the implementation and of the regulatory compliance framework and application to their daily activities. 
• Supporting the regulatory change process at Group level.  
• Providing relevant stakeholders with high quality regulatory compliance advice as part of business projects. 
• Working as a team with other colleagues within the Compliance function towards the successful transformation of the function into a first-in-class centre of regulatory expertise.  
• Displaying Quintet cultural values and being a behavioural model at all times during his/her interactions with the business as well as other colleagues within Compliance. 

Knowledge and Experience

• This job would suit a good candidate with previous experience as Regulatory lawyer, Regulatory Compliance specialist, Regulatory Affairs specialist/advisor. 
• In-depth understanding of the EU regulations applicable to the private banking and wealth management industry, with a focus on Luxemburg & Denmark, is essential for this role.  
• At least 5 years of work experience in banking/advisory business with focus on regulatory affairs. 

Attributes and Qualities

• Self-confident, independent, proactive and able to work on own initiative and to conflicting deadlines. 
• Be able to evolve in a matrixed, changing and complex environment. 
• Work together, collaborate with all businesses and engage stakeholders to work with a common purpose. 

Technical Skills

• Excellent policy and regulatory advice drafting skills. 
• Proven ability to deliver high quality regulatory compliance advice (both verbal and written) as part of regulatory projects and daily interactions with the business. 

Languages Skills

• Fluent in English (written and verbal), good knowledge of French.
• Fluent in Danish is a strong advantage, although not essential, for this role.