Senior Legal & Compliance Officer to Catella Bank

den 6 april 2017
den 5 maj 2017
Henrik Nilsson

The primary focus of the role is to be responsible for all legal, compliance and secretary functions for the Branch’s businesses in Sweden. The suitable candidate need a Master’s degree in Law and a minimum of 5 years proven legal, compliance and regulatory experience from Financial Institutions. Knowledge of Wealth Management and Capital Markets combined with demonstrated strategic and analytical mind set will be necessary to be successful in the role.

The position will be based in Stockholm and report to the Bank’s Chief Legal & Compliance Officer based in Luxembourg.

Main responsibilities

  • Provide legal advice and support in areas such as contracts, wealth management, credit, consumer law, litigation and employment law
  • Identify and monitor the laws and regulations that have relevance to the business in Sweden and proactively regulatory advise on any changes which will impact the business
  • Monitor and enforce compliance with the relevant laws and regulations
  • Conduct training sessions with business teams on compliance matters
  • Design and implement the branch compliance program
  • Develop, maintain and revise policies and procedures for the compliance program and run day-to-day activities of the department
  • Collaborate with control functions (Internal Audit and Risk)
  • Monitor regulatory activities to remain abreast of the status of all compliance activities and to identify trends
  • Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues
  • Provide reports on a regular basis, and as directed or requested, to keep Senior Staff Members informed of the operation and progress of compliance efforts
  • Develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
  • Document and maintain the firm’s compliance training record for employees
  • Review and provide legal advice and contractual agreements
  • Handle ad hoc assessments on general Legal & Compliance issues

Henrik Nilsson

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