Risk & Compliance Associate

Job description: Risk & Compliance Associate

Tasks

• Advising deal teams on compliance and regulatory issues throughout the transaction cycle
• Review of engagement letters and internal policy coordination
• Monitoring and management of mandate onboarding and support for regulated mandate flags
• Compliance advice on client categorization, deal size, MiFID II, suitability and portfolio management

Main tasks

1. advisory & transactional compliance

• First point of contact for deal teams on compliance and regulatory issues
• Review of engagement letters and internal policy coordination
• Monitoring and management of mandate onboarding and support for regulated mandate flags
• Compliance advice on client categorization, deal size, MiFID II, suitability and portfolio management

2. engagement oversight

• Ensuring that all mandates comply with internal control procedures
• Review of transaction documents for regulatory or behavioral risks
• Monitoring of risk triggers

3.

• Support in the identification and evaluation of inside information
• Management and monitoring of insider lists
• Monitoring and information of internal information barriers and access controls

4 Conflicts of interest management

• Conducting initial analyses of conflicts
• Support in keeping the conflict register

5 Group Support, EU Coordination and Cross-Border Compliance

• Coordination with EU locations to coordinate engagement instructions
• Review of documents and materials for consistency with EU regulatory requirements
• Support in carrying out periodic business audits

6 Regulatory and Compliance Operations

• Support in the implementation of the compliance monitoring and testing program
• Processing and distribution of regulatory reports
• Support in the preparation of reports for the management and governance committees

Requirements

• No specific requirements mentioned

We offer

• No specific benefits mentioned