Job summary

1)      Work as part of the  creation of CACEIS Bank Sweden Branch, support the delivery of core elements of:

• the AML / Financial Crime and Regulatory Compliance Management Plan as it relates to acting as MLRO, MLCO and Compliance Officer for CACEIS Bank Sweden Branch and the Funds to which it provides administration services
• the risk framework of the branch as it relates to acting as Risk Officer
• the control of the funds investments as it relates to the Depositary control function

2)      Support the development of a strong and consistent compliance and risk culture and alignment to CACEIS’ operating model 

3)      Work with the CACEIS Group AML/Financial Crime, Risk and Depositary control teams to support the Business lines and adherence to policies and procedures

Acting as MLRO, MLCO and CO for the business and its administered Funds:

• Investigating internal SARs submitted from the Business Line
• Responsible for ensuring that appropriate business and customer risk assessments are in place and appropriate for the specific Fund
• Develop or maintain Control plans for each client and Fund
• Ensure the completion of, and Compliance control plans testing in a timely and effective manner
• Collaboration with Group Corporate Compliance/AML , team members for continuous improvement of processes and to share best practice
• Preparing local management reports
• Oversight and support management of higher risk business activities and relationships (including PEPs) as well as specific AML/CFT issues and exposures
• Managing responses to local regulator inquiries, surveys, questionnaires and lead preparation for on-site reviews or audits
• Management of preparation and maintenance of local procedures for the Funds
• Taking into consideration, incorporating and participating in Enterprise wide Compliance initiatives

Acting as CRO of the branch includes the following responsibilities:

• Define and implement the risk mapping and control plan of the branch
• Locally implement group risk procedures with regards to incident, action plan, alert and outsourcing management
• Support the deployment of the group risk management tools (Matrisk, PCAT)
• Support & guide the business lines in their responsibilities as first line of defence in the main fields of operational risk management
• Diffuse risk culture in the branch
• Liaise and coordinate with Group Risk function, functional reporting to the Regional CRO
  
  

Acting as Local Head of Depository Control:

• Ensure all regulatory Depositary Control functions are established and executed according to local standards
• Establish and execute Depositary Clients onboarding including but not limited to initial and ongoing due diligence.
• Functional report Group role responsible for Global Depositary entities

#LI-FO1

Master's degree.

University degree and/or appropriate designations as compliance professional, professional designation in other appropriate areas such as law, risk management and/or audit.

• An officer with a broad knowledge of the regulatory framework
• Proven experience of AML Compliance on assessment of financial crime factors
  
  
  

• Knowledge of Regulatory Compliance framework e.g. Code of Practice for Funds Services Business and Collective Investment Funds regulation
• Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc
• Creative/strategic/analytical thinker able to demonstrate sound analysis and judgment and provide sound, clear and practical advice to business
• Strong verbal and written skills; ability to generate concise reports

• Sound working knowledge of applicable internal policies and procedures
• Sound working knowledge of applicable laws and regulations, particularly including those associated with trust company business and fund services business

• Accountable for deliverables and continuous improvement Professional demeanor
• Strong interpersonnel and communication skills
• Partnership mentality with other functions
• Strong time management and organisational skills / ability to meet deadlines and work under pressure, flexible, team player
• Proactive approach and ability to work on own initiative
• Ability to conduct duties expediently, aptitude for accuracy, attention to detail, and hands-on approach

• Solid working knowledge of the Company’s IT systems 
• Competent IT skills with sound knowledge of MS Office particularly Excel