Duties and responsibilities
- Ensuring day-to-day follow-up of the team members by coaching and verifying the performance of the monitoring and control activities;
- Determining, with the support of the Head of Customer Hub and the Compliance Departments, the first line of defence control and monitoring plan for the upcoming year (and adapting, where required);
- Executing part of the first line of defence controls and monitoring plan, including tasks requiring direct contacts with customers;
- Carrying out of testing to ensure that controls are working as intended;
- Reporting (through dashboards) to the Head of Customer Hub, Heads of Compliance functions and respective Executive Committees on the executed controls;
- Identifying and reporting new/existing risks to the Head of Customer Hub, Heads of Compliance functions and respective Executive Committees on domains such as AML, MiFID and Market Abuse;
- Escalating to Compliance Department as and when required;
- Defining (with the support of the Compliance functions) and updating the first line of defence policies, procedures, training plans and working instructions relating to the monitoring activities;
- Communicating and interacting with the second line of defence on escalated files, necessary trainings for the first line of defence officers or on findings and proposed corrective measures;
- Participating to the set-up and follow-up of IT changes and developments which concern the BRCM Team as a “Retail Control” department.
Required knowledge, skills and experience
- At least 4 years of experience in the first or second line of defence.
Possessing a good understanding of AML, MiFID and MAR;
- Outstanding coaching capacities to ensure a day-to-day follow-up of the BRCM Team members efficiently in their tasks to reach control objectives;
- Well-developed communication skills to clearly inform the team members on the tasks to perform and provide feedback on the performed tasks;
Strong organization, planning and prioritizing skills to execute the planned controls;
- Excellent eye for detail with a heavy focus on accuracy and delivery;
Ability to work under pressure and use own initiative to reach control objectives;
Excellent reactive capacities and problem-solving capacities;
- Capability to work autonomously and independently, but also have the awareness of when to consult Business Heads and Compliance;
- Strong capacity to work in a team and to cooperate with other departments;
- A good level of English, Dutch and/or French.