Compliance Officer

GENERAL OBJECTIVE
To ensure the business activities are conducted in accordance with applicable laws, regulations, circulars, and directives.  There will be specific  focus on regulatory and policy requirements applicable to Clearstream’s global customer base, products and services with the mission to ensure that Clearstream maintains high standards of practice in the eyes of the customers, the public and the authorities in the markets that it serves.

SUMMARY DESCRIPTION
Areas of responsibility include the prevention of money laundering and terrorist financing, international financial sanctions, anti-corruption, market abuse and other financial crimes; and the prevention of conflicts of interest and related securities law requirements.

•   Support projects and initiatives within the Chief Compliance Officer Area
•  Ensuring compliance with on-going AML/CTF duties including but not limited to reporting suspicious activities and the related follow-ups with the relevant authorities (where necessary).
•  Executing the Financial Crime Prevention program that covers AML/CFT, Anti-Fraud, Anti-Bribery & Corruption, and market abuse/insider trading, including but not limited to providing advisory and support to the business in handling escalated queries (advising on risk-based approach) 
•  Set up and conduct monitoring and testing activities driven by the Compliance risk assessment
• Application of Know-Your-Customer principles, and quality assurance of related files
• Handling of  system driven monitoring alerts, and research and investigation activities, particularly money laundering, sanctions, and insider dealing
• Preparation of information from both internal systems and external research. 
• Preparation and compliance assessment of customer on-boarding files
• Compliance assessment of  periodic  KYC reviews.  

OTHER RESPONSIBILITIES

• Act as support and advisory assistance to first line of defence employees and management for any question related to Compliance; 
•  Handle internal and external audits;
• Submit reports on a timely basis;

Other Skills/Requirements 

• Educational Qualifications    University degree in Business, Accounting or Finance related area
• Years of Experience    Minimum 1 Years fund related experience, preferably within a Compliance or AML/KYC role
• An understanding of MiFiD and AML European Fund legislation a distinct advantage
•   Strong analytical and conceptual skills, creativity, critical thinking, as well as ability to identify problems and propose solutions
• High degree of professionalism and the ability to independently complete complex projects
• Ability to identify problems and propose solutions
• Proficiency in written and spoken English; proficiency in any other languages would be an additional benefit
•  Team player, able to work independently on complex matters/ projects.
•  Strong individual initiative, the ability to work well in a team that may include representatives from a range of business areas, and different locations
• Ability to self manage workload with a positive approach
• Communication and negotiation skills, including ability to present complex matters in a clear and comprehensive way

NOTE:  This job description is not intended to be all-inclusive. Employees may perform other related duties to meet the ongoingneeds of the organisation.

Company Culture Cork

Our PEOPLE, our focus on RESULTS and Our Commitment to Our CUSTOMERS and COMMUNITY drives Our success.   Candidates must demonstrate an ability to understand and apply these four key elements [the building blocks] that shape our culture at Clearstream Cork - People, Customers, Results and Community. #Clearstream