Compliance Officer Conduct

Compliance Officer Conduct

As Compliance Officer Conduct and member of the Conduct team you play a role in ensuring that DLL maintains the highest standards of ethical conduct compliance and integrity across all its operations.

The Conduct team is part of Group Compliance at DLL International in Eindhoven and is headed by the Head of Conduct who reports into the DLL Chief Compliance Officer.

The Conduct team manages the Speak Up process and creates and enforces the Code of Conduct which governs ethical behavior and business practices is responsible for identifying and advising from a second line compliance perspective how to manage conflicts of interest how to deal with gifts and entertainment and prevent biased decision-making or unethical this respect the Conduct Compliance team supports DLL with ensuring compliance with rules related to market behavior such as insider trading market manipulation fair competition and treating customers fairly.

Compliance plays an important role in risk culture initiatives that support DLL with fostering its risk culture. The Conduct team is in the lead for the creation and development of the DLL Risk Culture Dashboard together with Risk and HR and will ensure roll out of the Risk Culture Assessment throughout DLL.

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Day to day:

Key Responsibilities

Advisory

• Serve as an advisor on ethical and compliance matters offering actionable insights and recommendations.
• Contribute to cultivating a strong culture of compliance ethics and integrity across the organization.
• Act as a partner advising on applying Conduct policies to everyday business decisions.

Policy writing

• Monitor regulatory developments and ensure proactive adjustments to the compliance framework.
• Contribute to the maintenance of conduct policies standards and guidelines that align with industrys best practices and regulatory expectations.
• Collaborate closely with the First Line of Responsibility (1LOR) to integrate the conduct policy requirements into business operations (systems tooling) review and implement robust policy measures ensuring that teams are well-equipped through comprehensive training programs and resources.
• Translate policy requirements into practical workable guidelines and practices ensuring they are effectively implemented by the 1LOR across all regions and departments.

Risk management and Compliance framework

• Identify and evaluate risks related to Conduct risks such as misconduct conflicts of interest market abuse etc.
• Support the design implementation and maintenance of a robust Conduct Compliance framework including policies controls reporting mechanisms and documentation.

Training Awareness and cross-functional Collaboration

• Contribute to the development of comprehensive training programs and awareness campaigns that enhance awareness of ethical conduct Conduct Compliance obligations and organizational values.
• Promote an ethical and speaking-up culture where compliance is embedded and valued across the organization.

Investigations monitoring and reporting

• Support investigations into potential violations misconduct or policy breaches
• Support with reporting on Conduct themes.
• Conduct ongoing monitoring to detect gaps non-compliance or areas of weakness.
• Develop and support implementation of remediation plans to prevent recurrence of misconduct.

All members enjoy

• Two working days per year volunteering for a local charity.
• Health and Wellness program including healthy food free health checks fun health & vitality activities.
• Flexible hours with possibility to work from home
• Career development opportunities: online learning member development programs.
• Click thislinkfor an overview of all the benefits in your region.

We lead the way in meeting the need for flexibility and transparency which our customers increasingly expect

Qualifications & Experience

• Minimum 3-5 years of experience in Compliance preferably within financial services or leasing
• Strong understanding of Risk Culture and behavioral Compliance
• Strong understanding of regulatory frameworks and risk management
• Strong communication skills in writing and verbal
• Strong interpersonal skills with a hands-on mentality
• Fluent in English; Dutch is a plus.

Key Competencies

• High integrity and ethical standards
• Collaborative and proactive approach
• Commitment to the DLL values:
  • We put our customers first
  • You can count on me
  • Together we achieve more
  • I challenge myself and others to grow
• Ability to influence
• Analytical and data-driven mindset

Choose wellbeing

DLLs wellbeing ambition is to educate equip and empower members to build connections manage their mental emotional physical and financial wellness and maintain balance between work and the other priorities that make up their lives.

Our four wellbeing categories are as follows:

• Connection Build meaningful connections with other DLL members
• Health Manage mental emotional and physical health
• Finance Provide learning opportunities to help members achieve personal financial health
• Lifestyle Maintain balance between work and life priorities

These are the things that matter to our members and the wellbeing of our members matters to DLL

Good to know:

• Deadline for application: February 22nd (Due to high volume of applications this requisition may close prior to posted close date)
• The selection process may involve an assessment
• Applications via email will not be reviewed. Please apply online via our career website
• #LI-DENNIS
• DLLs referral program applies
• For more information please contact our Talent Acquisition Partner Dennis van Hoof via

DLL appreciates the time you spend applying to our openings. We advise only those who qualify for an interview will be contacted. Hiring subject to successful completion of a background check.

DLL is an equal opportunity employer. We are committed to inclusive barrier-free recruitment and selection processes and work environments. If contacted for an employment opportunity please advise Human Resources if you require accommodation in accordance with our values and all applicable legislation.