Compliance Officer Milano

Compliance Officer
Milano
Lombardia, Milano

Description Under the authority of the Chief Compliance Officer (CCO), the Compliance Officer contributes to ensuring that Natixis Corporate and Investment Banking Milan Branch framework complies with the Group rules and the local regulations in force, as regards:

Prevention of money laundering, fight against corruption and terrorism financing, compliance with sanctions and embargoes Compliance with the Professional Ethics, Market Integrity, Clients Interest's protection and other compliance related rules Deployment and implementation of Compliance permanent control framework and follow-up of concrete action plans Deployment and/or adaptation of Compliance policies and procedures The scope of activity covers the different activities of Natixis CIB Milan Branch.

Main responsibilities and duties of the role: Deploy a consistent compliance framework (policies, controls, training) within Natixis Milan Branch.

Contribute to define and regularly update applicable compliance policies, rules, standards and methodologies.

Contribute to ensure that the employees comply with the applicable internal rules (conduct of business, policies, training sessions…) and identify the potential situations of conflict of interests.

Contribute to the regulatory watch on his/her perimeter.

Analyse Compliance risks and specific issues on his/her perimeter, in order to inform the decision-making bodies, to provide them with decision-making assistance and to raise alerts if the risk profile requires it.

Contribute to provide support and guidance to the Business teams in a proactive manner and when needed or requested (e. g.

due diligence visits, audits).

Participate to the implementation of the RCSA, Risk Appetite and Control plan and its realization in due time.

Handle as instructed by the CCO different regulatory reports (e. g.

yearly AML report, yearly Compliance report, Financial Crime questionnaire, Complaints report).

Assist, advise, and perform controls on the 1LOD (first line of defense) as part of the outsourced activities regarding AML/KYC, sanctions/embargoes and Market Abuse requirements (teams in Porto).

Escalate (when deemed appropriate) any compliance issue to the CCO and Management.

Maintain up to date the Compliance procedures & policies, the different compliance registers (e. g.

conflict-of-interest register, compliance issue register, main records register, communication register).

Provide reports, dashboards to the management and contribute to the Compliance committee.

Contribute to examine the compliance of new operations, services or products from the perspective of the NPNA committees.

Perform analysis regarding MiFID related topics.

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