Compliance Monitoring Officer

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. 

InsingerGilissen as part of Quintet Private Bank is a leading private bank and depository bank in the Netherlands that is more than a bank to its clients, but a partner. We see it as our mission to effectively and independently guide our clients and the generations after them through important decisions at every stage of their lives. With personal service with a focus on what really matters.

Key Accountabilities

• Deliver a series of defined monitoring tests to ascertain the firms’ compliance with its regulatory and legal obligations. 
  • Delivery of compliance tests on time, in accordance with strict compliance monitoring plan schedule
  • Maintaining excellent record keeping – correct use of test folders, version control, naming conventions
• Engage with business pre and post testing; monitoring and verifying the completion of actions which help the business demonstrate positive compliance with its regulatory and legal obligations.
• Evolving, adapting and designing CMP testing sheets under the direction of the functional Head
• Continuous gap analysis of the CMP scope and application
• Actively contributing through monitoring to a ‘live’ compliance risk assessment of the firm
• Supporting and undertaking Compliance Reporting 
  • Reporting and notifications to regulatory bodies as required
  • Internal management reporting
  • Register maintenance
• Exemplary Conduct and Behaviour 
  • Strong work ethic which understands the importance of meeting deadlines through a ‘can-do’ attitude.
  • Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.
  • To work and conduct yourself with skill, professionalism, discretion befitting a member of the Compliance Department and in accordance with PRIN

Knowledge and Experience

• Working knowledge of local regulatory and/or legal requirements across investment management, wealth planning and lending. 
• Delivering and/or assessing delivery of, the above through analysis of:
• Client files, procedures, processes, record keeping.
• Delivering regulatory change within a firm
• Understanding, responsibility, expectation and governance of a 3LOD model.
• A working understanding of outcomes based regulatory compliance work.

Attributes and Qualities

• Working knowledge of local regulatory and/or legal requirements across investment management, wealth planning and lending. 
• Delivering and/or assessing delivery of, the above through analysis of:
• Client files, procedures, processes, record keeping.
• Delivering regulatory change within a firm
• Understanding, responsibility, expectation and governance of a 3LOD model.
• A working understanding of outcomes based regulatory compliance work.

Technical Skills

• Excellent written, verbal, numeric and comprehension skills
• Relevant qualifications through industry body or educational institution.
• IT proficient

Languages Skills

Fluent in both Dutch and English, an additional language linked to our Banks present locations would be advantageous.