Compliance Officer

Full Time
  • Full Time
  • Lisboa PT
  • 2023-09-15 2023-11-14
  • Direito / JustiçaGestão / Administração / Secretariado
  • Outro
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My client a Global Financial Services organisation is seeking to hire an experienced Compliance Officer to join their team in Lisbon. This is a great opportunity to join growing International Compliance team.


Maintain an understanding of business operations and regulatory guidance/expectations.
Provide timely support to managers and the trading desk advising on regulatory guidelines, and other matters as appropriate, as and when clarification is sought.
Provide support/guidance to support business functions as required e.g. Client Relations team in respect of costs & charges reporting etc
Perform compliance reviews of business related processes, policies, and procedures to ensure regulatory/internal requirements are met, presenting findings to the Compliance Manager – and senior management accordingly, assisting in the remediation of any associated actions accordingly.
Thoroughly investigate and analyze the cause of any breaches and provide insightful reporting thereon.
Provide management information on business related Compliance processes and any errors, breaches, or control deficiencies.
Assist /lead in the development and provision of training to the business and associated support teams/functions as required.
Assist in the development and creation of compliance related policies and procedures as required.
Participate in annual Compliance policy review processes.
Support the Compliance Manager and the International Head of Compliance in other matters required to meet Compliance and organizational objectives and priorities including projects and other matters
Review, challenge and approve relevant elements of client IMA’s, RFPs and due diligence documents as required.
Proactively engage and develop processes to address identified gaps in the Compliance framework.
Support local, EMEA Compliance teams where required.
Assist in the execution and delivery of the EMEA Compliance teams annual Compliance Monitoring program as required.
Assist with the management of internal and external audits and regulatory inspections, including the remediation of any Compliance actions emanating from such.
Lead/manage/participate in Compliance / regulatory / business projects as directed by Compliance Management.


Significant experience in a compliance advisory role
Partnership skills – the candidate will be a key partner with business in EMEA and must cultivate and maintain excellent working relationships and credibility with all related business partners including compliance colleagues across EMEA.
Teamwork skills – the candidate must be flexible in their work style and be able to work collaboratively with stakeholders and colleagues at all levels.
An ability to work under pressure and to tight deadlines.

Competitive salary + benefits

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