Team presentation and main goal
The role will be working alongside one other Compliance team member in Porto in support of the Head Office Compliance team. The role will include coverage of tasks supporting the management of conduct framework and the professional ethics framework.
It is a broad role giving the individual the opportunity to build their knowledge of regulatory requirements and the related policies and procedures whilst engaging with a range of stakeholders.
Main tasks and goals
Working with other team members based in Porto, the successful candidate will be responsible for undertaking staff requests, staff trainings, controls, administration and reporting in respect of the following areas:
Professional ethics topics relating notably to
鈥ersonal Account Dealing
鈥utside Business Interests
鈥ifts and Entertainments
Employees conduct notably
鈥anagement of the governance
鈥nternal tool management in relation to conduct
鈥ommunication campaigns in relation to conduct
鈥onsistency checks or controls in relation to conduct
Staff movements where this is an input to other Compliance processes;
Performing compliance controls pertaining to these processes;
Ad-hoc and routine reporting in respect of the conduct and professional ethics frameworks;