Regulatory Compliance Officer (M/F)
UBP - Union Bancaire PrivéeLuxembourg2 days ago
Full-timeLegal
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Mission
As Regulatory Compliance Officer, you will play a key role in ensuring compliance with applicable laws, regulations and internal policies and ethics, while providing expert guidance on regulatory developments and risk mitigation.
In this position, you will actively support the Chief Compliance Officer in executing the full range of tasks and responsibilities entrusted to the compliance function. It covers all the non-AML related compliance subjects such as MiFID/MiFIR, Product distribution rules, Market Abuse, PAD, ESG, SFDR, EMIR, data protection, outsourcing/cloud, etc.
Main Responsibilities
YOUR PROFILE :
By joining Union Bancaire Privée (Europe) S.A. in Luxembourg you will embrace a team of supportive high qualified professionals in Private Banking that will lead you to develop your career to the top level. We encourage continuous learning, development and knowledge sharing. We foster a culture of Agility, Conviction, Dedication and high degree of Responsibility.
Union Bancaire Privée (Europe) S.A. encourages all suitable qualified and eligible candidates to apply regardless of their gender identity or expression, age, racial, ethnic and cultural background, religion and beliefs, sexual orientation, disability or neurodiversity.
In accordance with the provisions of the Luxembourg law of 23 July 2016 amending the law of 29 March 2013, retained candidate will be required to provide an extract from their criminal record as a part of UBP screening process.
As Regulatory Compliance Officer, you will play a key role in ensuring compliance with applicable laws, regulations and internal policies and ethics, while providing expert guidance on regulatory developments and risk mitigation.
In this position, you will actively support the Chief Compliance Officer in executing the full range of tasks and responsibilities entrusted to the compliance function. It covers all the non-AML related compliance subjects such as MiFID/MiFIR, Product distribution rules, Market Abuse, PAD, ESG, SFDR, EMIR, data protection, outsourcing/cloud, etc.
Main Responsibilities
- Regulatory Change and Projects support:
- Identify and assess all new regulations and laws impacting the Bank’s business and for those directly impacting the Compliance activities, perform a detailed gap analysis to identify the impacts and adapt the Bank’s framework accordingly.
- Inform the Chief Compliance Officer of key compliance related changes impacting the Bank.
- Assist Project teams in the practical implementation of regulatory projects by participating / checking the business requirements and ensure, when need be, that the deliveries are in line with the regulatory requirements.
- Escalate to the Chief Compliance Officer if a gap is identified.
- Ensure that internal policies and procedures are in line with regulatory standards / expectations.
- Advice and training to the Business teams:
- On a daily basis, provide support to the Business for any matter falling in the scope of the Regulatory Compliance remit.
- On a regular basis, provide support or give instructions to the Compliance team and/or the other related departments to ensure the Compliance framework remains robust.
- Ensure that the Bank has a robust training and awareness framework in place.
- Based on UBP Group program, develop and deliver training sessions on relevant compliance risks.
- Specific operational tasks:
- Provide insights into the Compliance internal reports including the Compliance annual report.
- Contribute to the Compliance Risk Assessment / Compliance Monitoring Program.
- Centralise compliance issues in accordance with the Compliance Policy and Charter.
- Participate to the Compliance review of new business initiatives.
- Ensure the ongoing management and annual update of processes related to conflicts of interest.
- Provide guidance and support in case of Authorities requests or visits, internal or external audits, as needed.
YOUR PROFILE :
- Master’s degree in law, finance or economics, or equivalent experience.
- 3-5 years experience in legal or compliance department within a bank/financial institution, Big 4 or consultancy firm with strong Luxembourg banking/financial exposure.
- In-depth knowledge of Luxembourg/EU banking law, regulation and other similar provisions (codes of ethics, etc.), including regulation on MiFID/MiFIR, product distribution rules, Market Abuse, PAD, ESG, SFDR, EMIR, data protection, outsourcing/cloud, etc.
- Proficiency with Microsoft 365.
- French and English: professional proficiency (written and spoken) required.
- Portuguese and/or Italian are a real advantage.
- Strong communication skills, solid team spirit, pedagogy, and diplomacy.
- Analytical mindset, deep rigorousness, risk awareness, and attention to detail.
- Business-oriented and solution-driven mindset, proactive with extreme confidentiality.
- Ability to prioritize tasks, manage multiple deadlines, and collaborate cross-functionally in a multicultural environment.
By joining Union Bancaire Privée (Europe) S.A. in Luxembourg you will embrace a team of supportive high qualified professionals in Private Banking that will lead you to develop your career to the top level. We encourage continuous learning, development and knowledge sharing. We foster a culture of Agility, Conviction, Dedication and high degree of Responsibility.
Union Bancaire Privée (Europe) S.A. encourages all suitable qualified and eligible candidates to apply regardless of their gender identity or expression, age, racial, ethnic and cultural background, religion and beliefs, sexual orientation, disability or neurodiversity.
In accordance with the provisions of the Luxembourg law of 23 July 2016 amending the law of 29 March 2013, retained candidate will be required to provide an extract from their criminal record as a part of UBP screening process.
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