Compliance Officer Personal Account Dealing

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Do you want to work in a fast-paced, challenging international environment?  Do you combine an intrinsic motivation to safeguard ethical conduct with a thorough understanding of the insurance business, its challenges and its needs? Please join the Corporate Compliance team of NN Group. NN aspires to truly matter in the lives of its customers by helping them to secure their financial futures. Within the Corporate Compliance team of this global insurance company, we strive to deliver high quality support to all businesses and Corporate Departments with the objective of adding value to our business, our customers, our employees, our shareholders and society at large. In our daily operations, we bring NN’s values -Clear, Care, Commit- to life.

 

Job description

You will work in a small team of 4 professionals, which is part of the Corporate Compliance team. The personal Account Dealing Team is involved in the daily monitoring of Personal Trading by NN colleagues who are subject to the insiders regulations as well as supporting NN with managing price sensitive information by compliance with the Market Abuse Regulation.

The main activities are based on supporting the Compliance department with operational and administrative tasks e.g. relating to Personal Account Dealing like:

  • Processing/monitoring applications of insiders (insider registration process);
  • Managing Non-Disclosure Agreements (NDA’s) regarding project insiders;
  • Maintaining accessible and comprehensible archives;
  • Uploading HR and financial instrument data into the trade order approval system and liaise with    Compliance contacts/officers to confirm the changes;
  • Pre-screening of private investment transactions by insiders and performing monitoring activities (e.g. Reconciliation of data from different systems);
  • Communicating with internal clients (Compliance colleagues/employees e.g. insiders about Personal Account Dealing, Insider regulation, approval procedure (e.g. support desk for insiders);
  • Reviewing/updating internal procedures, communication material (e.g. manuals), intranet;
  • Creating management information by comparing and matching Excel files from Compliance systems;
  • Contributing to awareness activities;
  • Dealing with violations of the insider regulations in cooperation with business departments;
  • Timely reporting of specific data to the regulator (e.g. AFM/DNB).

In this team providing mutual support is very important, as is gathering and sharing of knowledge.  

Based on your own knowledge level, skill set and preference, you will participate in projects to improve the control environment within NN, which are set out in our year plan.

 

Meet your team

The NN Corporate Compliance team consists of 18 employees, managed by the Chief Compliance Officer with 3 managers. The team consists of employees that support and oversee the business and develop and maintain Group-wide Centres of Excellence (Customer Suitability, Financial Economic Crime, Inside Information, Conflict of Interests and laws like PRIIPS and IDD, FATCA and CRS). In addition, the team operates a number of shared services (regarding client/business partner screening, personal account dealing and filing reports to regulators regarding our share in other stock listed companies). The team is also responsible for a well-functioning Whistle Blowing procedure.

Within the Compliance function, we aim for constructive cooperation between ourselves, our colleagues in the business units and other control functions and our colleagues that drive the business. As an organisation as well as a function we are in a continuous learning cycle to increase our performance in an effective and efficient way. This means that we question what we do and how we do that and look for smarter ways if possible.

 

Profile

Your experience:

  • Bachelor’s Degree or similar level of education, preferably in the area of Finance, Economics or Business Administration
  • Minimum of 1-3 years’ experience in the financial services industry
  • Understanding of and experience in asset management and/or securities industry
  • Knowledge of and affinity with financial instruments and investments
     

Your skills:

  • Excellent communication skills
  • Pragmatist, ability to make complicated things simple
  • Organisation sensitive
  • Influencing skills
  • Hands on, can do mentality & Team player
  • Flexible
  • Honest and discrete
  • Accurate, consistent and organised


We offer you
Naturally our appreciation for our colleagues are reflected in our conditions of employment, which, for the most part, can be adapted to your own personal wishes. We offer you:

  • A work environment that is characterized by an professional atmosphere, collegiality and open communication.
  • Plenty of opportunities to develop yourself; craftsmanship and development are our top priority.
  • The opportunity to work with professional and expert colleagues who have a tremendous drive to do good, in the interest of the client, the company and our business partners.
  • Modern compensations & benefits with room for your own choices.
  • The job is for 36 working hours a week and the location is Den Haag
  • A position in job grade 10 with a salary, depending on knowledge and experience;


How to apply
Are you the one we are looking for? Then apply directly by clicking the button below this vacancy.
Please apply online via the link to ensure a smooth procedure. Note that applications via e-mail will not be considered. For more information regarding the role and/or selection procedure,  Dennis Damoiseaux, Recruiter, via dennis.damoiseaux@nn.nl , of +31 6 82 999 606 .
 

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