Compliance Control Room and PAD Officer

As a Compliance Control Room and PAD Officer, you will work within the ABN AMRO Corporate Compliance department, which acts as a central clearinghouse for deal-related conflicts of interest within and between the bank's various client units, to mitigate regulatory and reputational risks.

The Global Control Room helps the business manage the flow of inside information and maintain the integrity of the bank's information barriers. The Personal Account Dealing Department (PAD) pre-approves and monitors personal account transactions of relevant employees in accordance with market abuse rules. Are you ready for a new step? Start with us!

As a Compliance Control Room and PAD Officer, you will work closely with a wide range of stakeholders, within the Compliance function and across the bank. In addition to the day-to-day operations of the Global Control Room and PAD Office, you will also drive a number of initiatives to further expand the scope and reach of the team and improve its effectiveness, through projects to enhance Global Control Room and PAD tooling.

In this role you will:

• Execute key Global Control Room day-to-day procedures in a good quality, consistent and timely manner. This pertains to all key activities, including conflict checks, maintaining marketing/watch/restricted lists, Wall crossings, research clearance, identification of deal registration and deal updates shortcomings, identification of policy violations and inadvertent sharing of confidential/inside information.
• Execute key PAD day-to-day procedures in a good quality, consistent and timely manner. This pertains to all key activities, including PAD pre-clearance and PAD monitoring, handling of violations and advising Compliance, Management Body, and Business colleagues.
• Review existing Global Control Room procedures, assess if additional documentation needs to be created to ensure appropriate governance and ensure published and unpublished procedures are up-to-date.
• Handle the Bank’s lists of Special Status Holders in the Netherlands and internationally.
• Provide guidance to bankers and deal teams on the management of (potential) conflicts of interest or the handling of inside information.
• Assist with the preparation of the Global Control Room and PAD quarterly reports to the Compliance MT, Business Compliance Officers and Heads of the relevant client units.
• Initiate projects to further expand the effectiveness of the Global Control Room and PAD Office, by improving or establishing new processes, procedures, tooling and reporting.
• Participate, as a subject matter expert, in the planning, training, quality assurance and reporting for the annual Systematic Integrity Risk Analysis (SIRA) for business related conflicts of interests.
• Deliver regular trainings to the business, Compliance colleagues and members of the management body on topics such as the management of deal related conflicts of interest and market abuse risks, personal account dealing responsibilities and the role of the Global Control Room and PAD Office.
• Lead quarterly reconciliation meetings with the client units in scope of Global Control Room to discuss the pipeline and ensure appropriate and timely control room reporting of all relevant deals / opportunities.

The Global Control Room and PAD functions are performed by a team of 5 professionals. All team members perform both Control Room and PAD tasks. The Global Control Room and PAD team are part of the Corporate Compliance team and support all client units, functions and countries. The team works closely with other teams within the wider Compliance department, including the Market Surveillance team and local Compliance teams in each of the countries where the bank is present. Questions and requests from the business are handled on a daily basis and liaising with departments such as IT and HR is required to enable smooth operation and continuous improvement of processes.

You have excellent verbal and written communication skills and have the ability to interact with a range of stakeholders. You enjoy working as part of a team and are good at working with others, including providing coaching to team members. You are diligent and take pride in your work. Continuous improvement is second nature to you. You pro-actively identify opportunities for improvement and deliver on them in a structured manner.

Specific requirements:

• You have at minimum of 5 years work experience, of which at least 3 years in a Compliance relevant position in the financial services sector.
• Direct experience in or close familiarity with the activities of the Global Control Room and/or PAD Office is a plus.
• You have a good understanding of corporate and investment banking and associated product sets such as Corporate Finance, M&A, ECM, DCM, Acquisition Finance, Markets Research, Sales and Trading.
• You are familiar with most security asset classes and their features.
• You have knowledge of relevant laws and regulations, such as the Market Abuse Regulation and the Markets in Financial Instruments Directive (MiFID II).
• You have the ability to identify and clearly explain regulatory compliance risks.
• You have a degree in Business Administration, Finance, Law or other relevant education and IT skills including the use of PowerBI.
• You are a great team player.
• You possess good project and stakeholder management skills.
• You have a risk-manager profile willing to mitigate risks in an efficient way.

• The gross monthly salary is based on a 36-hour work week including vacation pay and benefit budget
• A benefit budget with which you can buy extra benefits. If you do not buy anything, it is paid out monthly
• 5 weeks of vacation per year. You have the possibility to buy an additional four weeks per year.
• A Personal Development Budget of € 1,000 per year. This amount can be saved up to € 3,000.
• Possibility to work from home (in consultation with your team and depending on your function)
• Annual public transport pass with free public transport throughout NL
• An excellent pension scheme

If you are interested and believe you match the profile, please send us your CV and motivation letter before 31 October 2023. When you want more information on the content of the role, please contact Deborah ter Beek, Corporate Compliance (deborah.ter.beek@nl.abnamro.com) or Georgios Diamantis (Georgios.diamantis@nl.abnamro.com).

The success of our organisation depends on the quality of our people and the ideas that they have. Truly surprising insights and innovative solutions for our clients result from an interplay of cultures, knowledge and experience. Diversity is therefore extremely important to our organisation. To ensure that everyone at ABN AMRO can develop their talents, we encourage an inclusive culture in which all colleagues feel engaged and appreciated.

External recruitment agencies need to have a signed agreement with ABN AMRO BANK N.V., executed by a Talent Acquisition Specialist, when submitting a resume to a vacancy. No unsolicited services or offers, please.

Lees meer