Compliance Officer

**Poste et missions**:**
Overview of the role**:
To provide regulatory advice in relation to the UK Central Compliance team’s areas of responsibility to all business areas and support functions.

**Main responsibilities of the role**:
**PRA/FCA Senior Manager, Conduct Rules Regime (“SMCR”)**
- To liaise with the Human Resources Department (“HR”) to identify members of staff which require certification
- To liaise with UK Compliance management and HR on the review of the on-boarding policy and procedure
- To verify all that all information relating to the certification process has been received and verified prior to certifying
- To verify that all the necessary CISI and Conduct Rules training have been completed prior to certifying

**Annual Re-certification process**:

- To liaise with HR to identify staff which require re-certification
- To assist in organising the annual re-certification exercise
- To review the Fitness and Proprietary and the Professional Conduct and Ethics forms
- To follow up on the completion deadline of the Competence and Capabilities sign off by both staff and line managers

**Training and Awareness**:

- To liaise with Head Office, UK Compliance teams to coordinate an annual review of compliance education and awareness requirements for Natixis London staff and relevant overseas-based staff
- To liaise with external training providers, Head Office, HROne and HR as required to ensure the roll out of required training.
- To coordinate, follow up all training for Natixis London and related testing of training courses and content as appropriate

**Overseas visitors**:

- To maintain a list of non-London Natixis staff that visit the UK for business purposes
- To respond to queries relating to visits from Head Office and Business Lines
- To follow up with the visitors to ensure that the visit complies with the Visitor’s policy
- To undertake periodic monitoring of the travel list from Paris and Visitors’ log
- To assist with the review of the Natixis London Branch Visitors Policy.

**Gifts & Entertainment (“G&E”)**
- To review G&E disclosures, approve or escalate as necessary.
- To liaise with Head Office in relation to the development of Odeon Ethics system for the PAD Module
- To escalate G&E disclosures to the Financial Crime Team and the London ExCo as appropriate
- To undertake periodic monitoring in relation to G&E disclosures
- To review and update the Gift and Entertainment Procedure
- To provide Management Information to the Financial Crime Team to allow it to perform its function in relation to the identification and prevention of Bribery and Corruption.

**OBI and PA Dealing**
- To review all PA dealing and OBI requests, approve or escalate as necessary.
- Approval of G&Es, PA Dealing new account and review of problematic PA Dealing requests
- To liaise with Head Office in relation to the development of Odeon Ethics system for the OBI and PAD Module
- To review and update the OBI and PAD Procedure

**Ad hocs**
- To assist the UK Head of Central Compliance and senior management with ad-hoc tasks and projects that may be assigned from time to time
- To attend the Fitness and Proprietary Committee as necessary
- To train staff to use the Odeon Ethics tool
- To liaise and work with Head Office MRT/GMFO requirements when necessary
- To liaise and assist Internal Audit on all Central Compliance responsibilities
- To deliver induction training to intern new joiners and to other new joiners in the absence of the UK Head of Central Compliance
- To assist with the provision of monthly management information to senior management

**Profil et compétences requises**:
Yourself & Beyond...