COMPLIANCE OFFICER - PARIS
DETAILS:
Department: Compliance
Duration: permanent contract
Start Date: as soon as possible
Location: Paris
Salary: As per Kepler Cheuvreux’ policy
KEPLER CHEUVREUX:
Kepler Cheuvreux is a leading independent European financial services company that specialises in Research, Execution, Fixed Income and Credit, Structured Solutions, Corporate Finance, and Asset Management.
The Group employs around 600 people and is present in 14 major financial centres in Europe, the US and the Middle East: Amsterdam, Brussels, Dubai (DIFC), Frankfurt, Geneva, London, Madrid, Milan, New York, Oslo, Paris, Stockholm, Vienna, and Zurich.
Group key figures:
- 1st independent European equity broker.
- +EUR1.5bn of equities traded on average daily.
- 1st Equity Research coverage in Continental Europe.
- 1st Country Broker and Research (Extel 2024).
- 14 major financial centres in Europe, US and the Middle East.
- 600 employees.
- 1,300 institutional clients
YOUR TASKS
Compliance controls and advisory on the following topics:
- Client suitability and eligibility of products and business model (MIFID 2)
- Regulatory compliance (MIFID 2)
- Market surveillance (MIFIR, MAR)
Anti-money laundering and fight against terrorism (Group):
- Ensure update of group policies / procedures and review of risk assessment
- Validation of high risks clients and complex cases
- Ensure monitoring of existing accounts update
- Ensure Front Office Staff training in relation with AML FT issues
Non compliance risk assessments:
Maintaining and updating Compliance monitoring program and ensuring compliance with Group Rules (French Prudential Authority):
- Regulatory watch and non compliance risks identification
- Risk measurement
- Update of control plans
- Mapping of NC risks to the overall risk mapping
Digitalisation:
- Use of AI, automation tools and propose improvement plans of Compliance processes with a view to remove no-brainers and repetitive low value-added tasks.
YOUR PROFILE AND SKILLS:
The successful candidate should meet the following requirements:
- Business school or university graduate with a major in business administration, law or finance
- A minimum of 5 years of experience in Compliance in an Investment Firm (AMF supervision)
- A capacity to identify problems, have an approach to the latter, and propose resolutions
- Strong business understanding
- An experience in audit is a plus
- Awareness of risk, compliance and control issues
- Good communication and reporting skills
- Independent, reliable, very rigorous
- Fast learner, fluent in French and English
- Ability to communicate with people at all levels in the organisation
- Capacity to handle an increasing number of issues independently
RECRUITMENT PROCESS:
Between 2 and 3 rounds of interviews: both fit and technical questions.
You will need a flexible and creative approach in order to flourish in our international environment and succeed with our diverse client base. If you possess these qualities and would like to be part of Kepler Cheuvreux’s story, then come and join us!
Please note that Kepler Cheuvreux promotes equal opportunity. All applications will be given due consideration.