Transcript compliance officer (m/v)

 De Entrée 254
1101 EE Amsterdam
Postbus 93020
1090 BA Amsterdam
Tel 020 462 2366
COMPLIANCE OFFICER (M/V)
Lloyds Bank, locatie Amsterdam
Wil jij jouw ervaring uitbouwen en leren van de internationale expertise van Lloyds Banking Group? Wil je deel
uitmaken van het Risk Team in Amsterdam? Ben jij een gepassioneerde, gedreven professional? Dan zijn wij
op zoek naar jou!
Gezien het internationale karakter van de functie hebben wij de functie omschrijving in het Engels opgesteld.
THE ROLE:
Reporting to the Head of Risk Management this is a critical business role in safeguarding the Lloyds NL
business to operate in compliance with Dutch and European legislation as well as within the Lloyds Banking
Group (LBG) policy framework. With a great eye for detail the role holder will act as Compliance and Conduct
subject matter expert and will be required to have a strong knowledge of the legal and regulatory environment
Dutch financial institutions operate in. The role holder will be a key stakeholder in supporting the business and
to help shape and ensure a robust Compliance Framework, aligning with conduct risk, is delivered and
maintained and as such support our vision to become the Best Bank for Customers.
KEY ACCOUNTABILITIES
Robust Compliance Framework
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Ensure a robust Compliance Framework with adequate procedures is in place to adequately manage,
monitor and mitigate potential Regulatory, Compliance and Conduct Risk
Discuss emerging legal and regulatory developments with regard to financial services with
stakeholders and translate consequences into internal actions, policies and procedures.
Keep the Lloyds NL Compliance manual and monitoring plan up to date, discuss content with
responsible managers, and make sure that Dutch Law and LBG policies are adequately reflected in
policies and procedures
Responsible for content and adherence to Code of Conduct (central document summarizing
organizational policies and legal requirements) in all key compliance areas.
Communication
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Act as liaison for the business and Group Risk in the areas of Regulatory, Compliance and Conduct
Risk
Advise on and manage/remediate compliance & conduct risk matters at strategic as well as business
level.
Responsible for effective communication and awareness of all relevant Compliance and Conduct
aspects on an ongoing basis to ensure appropriate and efficient compliance & conduct risk
management across the Lloyds NL organisation
Function as a service desk for internal questions on the subject and to give follow up on relevant items.
De Entree 254, 1101 EE Amsterdam. Postbus 93020, 1090 BA Amsterdam. Tel: 020 462 23 66. Lloyds Bank is een handelsnaam van Bank of Scotland plc.
Bank of Scotland plc is geregistreerd in Schotland (nr SC327000). Geregisteerd kantoor: The Mound, Edinburgh EH1 1YZ. Geautoriseerd door de Prudential Regulatory Authority en gereguleerd door de
Financial Conduct Authority en Prudential Regulatory Authority (nr 169628). De Nederlandse vestiging is ingeschreven bij de KvK (nr 34122516) en de AFM (nr 12000859).
Reporting
Establish a reporting structure and reporting formats and be a single point of contact on the subject.
Responsible for correct and timely reporting.
Project Management
Acts as Project Manager for major regulatory and conduct projects.
Create a vision for people to buy into and provides leadership and direction for individual project teams, in
particular at project management level. Ensure any inter-dependencies between projects or inter-departments
are managed and undertake trouble-shooting where required.
Stakeholder Management
Build strong relationships with stakeholders and demonstrate an understanding of their business area and their
specific needs in relation to the programme. Work constructively and openly with all teams ensuring
transparency of progress, risks and issues. Communicate effectively within the Lloyds NL & LBG programme
areas where lessons can be learned, from other divisions' experiences or activities. Manage communication
with both internal and external stakeholders effectively.
PROFILE
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A University degree in law and/or a related subject
Sound knowledge of EU and Dutch legislation and regulations in the financial market
Certified Compliance Officer Qualification or similar will be beneficial
At least > 5 years relevant experience in related field, preferred in a compliance role
Ability to develop operational policies & Procedures within the area and ensure that these are
understood and implemented
Excellent planning and organization skills
Excellent analytical skills
Excellent communication skills both verbal and in writing (Dutch and English) and ability to demonstrate
these skills effectively across all levels of the organisation
Ability to get things done under pressure, hands-on mentality and pro-active
Self motivated and well organised
Good knowledge of the Dutch Mortgage Market
WE OFFER
A fulltime role (40 hour) with a salary in line with the market and excellent secondary employee benefits.
Do you recognise yourself? Then we would like to meet you!
Send your CV and motivation letter in English to: [email protected]
www.lloydsbankwholesale.com
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