Compliance Official (Vilnius, Lithuania)

Compliance Official (Vilnius, Lithuania)

Our client is a top European FinTech Group which revolutionized their local financial services industry in the 1970s.   Today, the company continues to grow its influence in the global FinTech sphere and they are seeking to hire a Compliance Official for their Lithuania branch.

Responsibilities:

• Assume responsibility for the general day to day duties in the compliance department including client onboarding in line with regulatory requirements including knowledge and experience, financial situations, investment objective and risk appetite as well as the onboarding of Clients in line with the Company’s acceptance policy;
• Assist in ensuring that the sales distribution of the Company are in line with the Product Governance regulations and Company Policies;
• Review and Assist in ensuring that the investment services including advisory, non-advisory and execution only are undertaken in line with regulatory requirements and applicable legislation.
• Assist in preparation, vetting and screening of Offering Supplements, Prospectuses, Factsheets, KIIDS in relation to proprietary Funds of the Company;
• Vetting client fact finds, ensuring all regulatory requirements and company standards are met, handling settlements and distributions of deceased estates.
• Provide guidance and advice on legal and regulatory matters to various business lines including probates and transfers of
  deceased estates and contractual agreements.
• Actively participate in the execution of the Compliance Monitoring Programme of various licensed entities and drawing up the monitoring reports in a timely manner and take an active role in the compliance reporting, including reporting to
  the Board/Authority and other stakeholders.
• Liaise with the Risk and MLRO on a continuous basis with a view to understand the risk and implement coherent and effective mitigants.
• Remain abreast with new regulations and circulars and engage in continuous learning and development regarding changes in rules and regulations that would require to be implemented.
• Other duties as assigned by the Head of Compliance and Regulatory Manager from time to time.

Qualifications

1. In possession of a Compliance related certification or will consider candidates who are in
process of achieving the certification
2. Min 2 years experience within Financial Services
3. Preference in Banking of Financial sector and in Investment Services
4. Exposure to Lithuanian Compliance systems and excellent Lithuanian/English
5. Proven experience of contented learning and development