NN Group

14000 werknemers

Employee Compliance Personal Account Dealing

Den Haag
Geplaatst op: 14 augustus 2016
Deadline: 27-10-2016 12:00:00
Niveau
WO
Richting
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Employee Compliance Personal Account Dealing

NN Group / Corporate Legal & Compliance Head Office exists of two departments: Corporate Legal and Corporate Compliance.

Corporate Compliance has 21 FTE based in The Hague and. exists of 2 teams: Conduct & Integrity Team (including the Personal Account Dealing Team) and the Product & Services Team

The PAD Team is involved in the daily monitoring of Personal Trading by NN colleagues who are subject to the insiders regulations.

The main activities of the Compliance Employee is supporting the Compliance department with operational and administrative tasks e.g. relating to Personal Account Dealing.

An extensive security check will be part of the hiring process.

 

Your main responsibilities:

  • 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).

Your experience and skills

  • 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;
  • Strong understanding of and interest in the use of Excel Affinity with IT systems;
  • Language skills: Fluency in English.

Your competencies

  • Excellent communication skills, at all levels within the organisation;
  • Organisation sensitive;
  • Influencing skills;
  • Hands on, can do mentality;
  • Team player;
  • Flexible;
  • Honest and discrete;
  • Accurate, consistent and organised.

We offer you
  • A work environment that is characterized by an professional atmosphere and collegiality.
  • 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 and with an eye for society together.
  • Modern compensations & benefits with room for your own choices.

This is for 36-40 hours and the location is The Hague.

Apply?

Would you like to comment on this job? Then apply directly online.

Do you have questions or would you like more information about the function, contact Pieter Thissen, Pieter.thissen@nn-group.com.

Warning: only applications with CV and motivation letter will be taken in to consideration.

An assessment can be part of the application.

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