Compliance officer control room
Are you interested in or have knowledge of the world of Investment Banking and Corporate Finance? Do you have experience in or are you interested in a career in Compliance? The role of Compliance Control Room Officer may just be what you are looking for.
The Global Control Room is a function within the bank's Compliance department that acts as a central clearing house for deal-related Conflicts of Interest within and across the various business lines of the bank globally, in order to mitigate regulatory and reputational risks. The Global Control Room also assists the business in managing the flow of Inside Information and preserving the integrity of the Bank's information barriers and Chinese Wall.
As a Control Room Officer you have oversight over the deal pipelines of the relevant business units in the bank and assist and advice the business in identifying and managing compliance risks associated with the acceptance and execution of mandates received by our clients, whether it be M&A, Corporate Structuring & Advisory, Acquisition & Leveraged Finance, Capital Markets transactions or other types of deals and transactions that involve price sensitive information or (perceived) conflicts of interests.
The Global Personal Account Dealing (PAD) Office is another key Compliance function that is very much related to the Global Control Room. The Control Room Officer will as part of their role also perform PAD Office duties from time to time.
This role is perfect for someone who wants to develop core skills in the Compliance profession and set him/herself up for a wider career in Compliance.
In this role you will:
- Review deals that are reported to the Global Control Room to identify any potential conflicts with other deals or activities of the bank.
- Register the deals and associated information in the bank's Control Room system.
- Escalate any identified (potential) conflicts of interest to senior management for their review and clearance.
- Provide guidance to bankers and deal team captains on the management of (potential) conflicts of interest or the handling of inside information.
- Maintaining Marketing, Watch and Restricted Trading lists based on the information reported.
- Follow up with deal team captains on the progression of a deal, to ensure the appropriate Compliance procedures are followed at the right moment.
- Keep track of and register the dissemination of inside information (i.e. price-sensitive or material non-public information) within the bank, e.g. by maintaining deal insider lists.
- Administer crossings of the Chinese Wall by 'Public Side' employees to participate in a 'Private Side' client deal or pitch.
- Review Equity Research reports created by the bank's Global Markets Research department to help prevent (the perception of) conflicts of interest emanating from issuing these reports.
- Review and approve/reject PAD pre-clearance request submitted by the bank's staff across all business lines and countries.
- Monitor PAD transactions of staff members to ensure all trades are pre-approved and in accordance with the PAD policy.
- Work on projects and initiatives to further expand the scope and reach of the Global Control Room and PAD Office.
- Contribute to the development and maintenance of policies and procedures relating to the Global Control Room, PAD Office and the topics of conflicts of interest and market abuse in general.
- Have regular meetings with management of relevant business lines to discuss pipeline reports and advice on applicable procedures.
- Deliver training to the business on the management of conflicts of interest and market abuse risks and the role of the Global Control Room and PAD Office.
You have excellent verbal and written communication skills and have the ability to interact with a range of stakeholders. You enjoy working as part of a team and are good at working with others. You are diligent, have attention to detail and take pride in your work. Continuous improvement is second nature to you. You don't wait to be told what to do, you pro-actively look for where you can contribute to improve.
- You have at least 2 years work experience in a Financial Institution, either in a Compliance role or in a corporate and investment banking role.
- You have at least a basic understanding of corporate and investment banking and associated product sets such as Corporate Finance/M&A, Acquisition & Leveraged Finance and Capital Markets.
- You have at least a basic understanding of relevant laws and regulations, such as the Wet Financieel Toezicht (Wft), Market Abuse Regulations (MAD/MAR) and the Markets in Financial Instruments Directive (MiFID II).
- You have the ability to identify and clearly explain regulatory compliance risks.
- You have a Master's degree in Business, Law or other relevant field.
- You are fluent in English.
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