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AML/Continuing Obligations Advisor

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Euronext

Aug 22, 2024

  • Job
    Full-time
    Mid & Senior Level
  • Dublin
  • Quick Apply

AI generated summary

  • You must gather CDD documents, ensure compliance with regulations, conduct risk assessments, and maintain AML records while liaising with external parties and monitoring ongoing compliance.
  • You will review CDD documents, assess client risks, ensure compliance with legislation, manage AML records, address queries, monitor issuers, liaise with external parties, and support policy development.

Requirements

  • - Gather & review CDD documents from a diverse range of clients with varying legal structures.
  • - Ensure all documentation reviewed is in compliance with the Criminal Justice Act 2010 (as amended) and Euronext internal policies on time & with complete accuracy.
  • - Carry out risk assessments on clients and screening with the assistance of a screening tool.
  • - Assist in ensuring ENX is in compliance with EU Financial Sanctions.
  • - Record all relevant customer information on internal checklists and maintain accurate AML records and files.
  • - Deal with AML/ Continuing Obligations queries within specific timeframes.
  • - Maintain a working knowledge of AML/CFT legislation.
  • - Deliver a positive and differentiated experience to ENX customers at all times.
  • - Monitor issuers on ENX Dublin markets for on-going compliance with the relevant ENX Dublin rule books and securities legislation.
  • - Carry out preliminary enquiries where possible breaches of the ENX Dublin rule books may have arisen.
  • - Liaise with external parties (e.g. adviser firms representing companies, listing sponsors and agents) in relation to continuing obligations matters.
  • - Maintain up to date knowledge/understanding of key regulatory and capital market developments and, where relevant, assist in their application to the continuing obligations regime to ensure that it remains fit for purpose.
  • - Liaise with the Central Bank regarding regulatory matters related to continuing obligations matters.
  • - Support policy development, including ENX rule books and delivery of regulatory solutions to ENX customers.

Responsibilities

  • Gather & review CDD documents from a diverse range of clients with varying legal structures.
  • Ensure all documentation reviewed is in compliance with the Criminal Justice Act 2010 (as amended) and Euronext internal policies on time & with complete accuracy.
  • Carry out risk assessments on clients and screening with the assistance of a screening tool.
  • Assist in ensuring ENX is in compliance with EU Financial Sanctions.
  • Record all relevant customer information on internal checklists and maintain accurate AML records and files.
  • Deal with AML/ Continuing Obligations queries within specific timeframes.
  • Maintain a working knowledge of AML/CFT legislation.
  • Deliver a positive and differentiated experience to ENX customers at all times.
  • Monitor issuers on ENX Dublin markets for on-going compliance with the relevant ENX Dublin rule books and securities legislation.
  • Carry out preliminary enquiries where possible breaches of the ENX Dublin rule books may have arisen.
  • Liaise with external parties (e.g. adviser firms representing companies, listing sponsors and agents) in relation to continuing obligations matters.
  • Maintain up to date knowledge/understanding of key regulatory and capital market developments and, where relevant, assist in their application to the continuing obligations regime to ensure that it remains fit for purpose.
  • Liaise with the Central Bank regarding regulatory matters related to continuing obligations matters.
  • Support policy development, including ENX rule books and delivery of regulatory solutions to ENX customers.
  • Ad-hoc project work.

FAQs

What are the primary responsibilities of the AML/Continuing Obligations Advisor?

The primary responsibilities include gathering and reviewing CDD documents, ensuring compliance with relevant legislation, conducting risk assessments, monitoring ongoing compliance, maintaining accurate AML records, and liaising with external parties on regulatory matters.

What kind of clients will I be working with in this role?

You will be working with a diverse range of clients, including those with various legal structures.

What regulations must I comply with in this position?

You must ensure compliance with the Criminal Justice Act 2010 (as amended), EU Financial Sanctions, and Euronext internal policies.

Is ongoing education important in this role?

Yes, maintaining up-to-date knowledge of AML/CFT legislation and key regulatory developments is crucial for this role.

How will customer queries be handled?

You will be responsible for addressing AML/Continuing Obligations queries within specific timeframes.

Will I have to work on projects outside of my regular duties?

Yes, the role includes ad-hoc project work in addition to main responsibilities.

How does Euronext value diversity and inclusion?

Euronext embraces diversity and strives for inclusion, respecting and valuing all individuals within the workplace.

What does Euronext prioritize in terms of communication and integrity?

Euronext values transparency and honest communication, acting with integrity in all actions and learning from mistakes.

What kind of adaptability is expected in this role?

You are expected to act with urgency and decisiveness, being adaptable and responsive to changes while taking smart risks.

How does Euronext approach accountability in the workplace?

Euronext encourages ownership of outcomes and celebrates performance, focusing on delivering maximum value to customers and stakeholders.

Is Euronext an equal opportunity employer?

Yes, Euronext is proud to be an equal opportunity employer and values the unique talents of individuals from diverse backgrounds.

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Euronext

Finance
Industry
1001-5000
Employees

Mission & Purpose

Euronext is a pan-European stock exchange that operates markets in several countries, including the Netherlands, France, Belgium, and Portugal. It provides a platform for trading in a wide variety of financial instruments, including equities, bonds, derivatives, and ETFs. Their ultimate mission is to connect European economies to global capital markets, fostering growth and innovation. Their purpose is to offer efficient, transparent, and sustainable financial markets that empower companies and investors to make informed decisions and drive economic progress.