The Compliance Controller function lies within the Natixis in Portugal’s Secretariat General area. As such, the function reports directly to the SG PT Controls Natixis Team Leader under the Manager of SG PT Controls who, consequently, reports to the local Secretary General PT and functionally to Secretariat General Head Office (Paris).
The main goal of the Compliance Controller is to ensure that non-compliance risks concerning (i) businesses and operations transferred to Natixis in Portugal by other perimeters and (ii) typical support functions locally in place, are effectively and efficiently mitigated through the proper implementation and deployment of a sound and robust control framework under the main responsibility of the local business/process owners. Additionally, the Compliance Controller bears responsibility over corporate (HO) compliance control initiatives which require local attention, implementation, testing and reporting.
Furthermore, the Compliance Controller conducts recurring checks designed to ensure control of non-compliance risks. An opinion on the compliance of business activities/transactions is issued and (where deemed necessary) points of attention/corrective measures are defined. The Compliance Controller participates in the establishment and improvement of control mechanisms.
Main tasks and goals:
The Compliance Controller completes regular controls over specific non-compliance risks in accordance with the defined (annual) control plan, documents findings and outlines points of attention/corrective actions.
The key missions are to:
-
Complete controls in his scope of action in accordance with the monitoring and compliance control plan and in line with existing procedures/methodologies.
-
Produce control reports, present the results to the business lines or support functions and identify and report the weaknesses or vulnerabilities encountered.
-
Suggest corrective actions to the business lines or support functions and, if necessary, monitor the timely implementation of these actions.
-
Specify and document the control methodology, while adapting to the specifics of the internal customers.
-
Help outline and complete compliance control plans.