Director of Compliance and Internal Control – RCCI (F/W)

Company Description

Specializing in financial savings, VEGA Investment Solutions prioritizes wealth management based on strong convictions, which it expresses through its four core business areas: Discretionary Management / Collective Management / Fund Advisory and Selection / Premium Advisory Management.

Recognized for the quality of its 'growth' management in European equity markets, the company also stands out for its expertise in bond markets, diversified strategies, and private assets. Thanks to its dynamic allocator approach and over 20 years of experience in advisory and fund selection in an open architecture, VEGA Investment Solutions selects and assembles, based on its analysis, the best expertise from both listed and unlisted universes to build clear and efficient solutions that meet the expectations of all its clients.

Job Description

POSITION AND MISSIONS

The VEGA IS Compliance and Internal Control Director is the RCCI of the management company.

He reports hierarchically to the VEGA IS Senior Management Representative, and functionally to the Chief Compliance Officer for Europe. by Natixis IM.

The Compliance and Internal Control Director is responsible for a team made up of 6 permanent employees and 2 apprentices.

As RCCI, the Compliance and Internal Control Director of VEGA IS is responsible for:

to ensure the mastery of the 2nd level permanent control system relating to compliance checks, and internal control,

to establish all maps (risks of non-compliance, money laundering, corruption, conflicts of interest, etc.) provided for by Group regulations and procedures,

to establish a permanent control program covering all VEGA IS activities aimed at ensuring the adequacy of the compliance and internal control system with the management company’s activity and its compliance by the persons concerned,

to supervise the checks related to this permanent control program

to supervise the follow-up of the implementation of the recommended corrective actions and inform VEGA IS General Management of the progress made with these measures

Ensure regulatory monitoring, assess its impacts on society, and ensure process upgrades; participate in all regulatory implementation projects

to advise, train VEGA IS employees on the applicable regulations and disseminate compliance culture

to issue compliance notices on new products/services, client agreements and regulatory documents of UCIs, commercial documents, organizational changes, agreements related to approved activities, business procedures

to draft the Ethics Manual and all procedures relating to compliance and internal control

to ensure the missions of the Financial Security (fight against money laundering and the financing of terrorism, fight against embargoes, anti-corruption, anti-fraud, role of Volcker Rule Officer, role of "Point of Contact" for FATCA, ...) and in this capacity to be the TRACFIN correspondent

to be the single entry point for VEGA IS’s AMF correspondent

- to ensure reporting in connection with the function of RCCI, vis-à-vis the regulators, and the internal and group governance bodies.

The Compliance and Internal Control Director ensures team management, including: defining objectives, conducting development and performance evaluation interviews, validating training needs, monitoring work carried out, supporting employees in carrying out their tasks.

#TransformativeFinance

This position is based in Paris with the possibility to work remotely.

We place our employees at the center of our attention. Internal mobility, career development and training programs allow you to grow and flourish throughout your journey.

You work in a hybrid, inclusive and collaborative work environment.

You also have the opportunity to commit yourself in favor of society and causes that are close to your heart through our corporate foundation.

About the recruitment process

You will be contacted by one of our recruiters before meeting our business experts (manager, team member or business sector).

Required Skills/Qualifications/Experience

About you: If you recognize yourself in the following description, you are made to work with us!

With a higher education (Bac+5 - Graduate Business School / University in Finance (Master of Banking and Finance) or Audit / Control / Compliance), you have proven experience in asset management and internal control/compliance/auditing.

Do you have:

the regulations applying to management companies, collective investment undertakings, and investment services (discretionary management, investment advice)

Office tools (Excel, Word, PowerPoint)

You have excellent interpersonal skills, a very good listening ability, you are:

with very good writing, analytical, and synthesis skills

dynamic, involved and rigorous

with the ability to take initiative and be autonomous

capable of managing an operational team.