Compliance Analyst
#LI-DNI
Overview This role will be primarily responsible for maintaining the compliance framework, assessing standards of compliance, and providing compliance advice to LaSalle’s Paris office. LaSalle’s Paris office is authorised as an AIFM by the AMF, has a MiFID top-up and holds a T-card. LaSalle Paris also has a branch office in Germany. LaSalle broadly applies a “three lines of defence” approach to its corporate governance arrangements and whilst this role is central to the functioning and management of LaSalle’s “second line”, the successful candidate will from time to time also work directly on certain matters that might be more typically categorised as “first line” matters (assisting with challenging AML matters, digitalization projects, service provider due diligence assessment and drafting policies and investor/fund on-boarding matters).
As such the successful candidate will be expected to quickly identify and action risk-based, practical solutions that facilitate efficient resolution of competing issues while supporting the broader LaSalle business and its objectives (this will need to be achieved without exposing the business and our clients to unnecessary compliance and regulatory risk). The candidate will be expected to exercise a good balance of commercial and regulatory judgement in this regard. A key objective of the Legal & Compliance team is to work in partnership with the business teams and senior management in each LaSalle office and the broader LaSalle platform to implement compliance policies in a manner that is proportionate, consistent and adaptive to the needs of the business, whilst mitigating material risks that arise in connection with compliance driven matters.
This is a busy and autonomous business facing role within a successful and dynamic investment management business.
LaSalle’s Legal and Compliance Framework
The successful candidate will report to the RCCI (Head of Compliance and Internal Control) and will be a member of the wider European Legal and Compliance team comprising over twenty legal and compliance professionals in LaSalle’s London, Paris, Munich and Luxembourg offices. The team is led by the European Head of Compliance and the European General Counsel based in London. In addition, the successful candidate will work closely with the managing directors of LaSalle’s Paris office day to day and LaSalle’s Chief Counsel for France & Luxembourg, plus LaSalle’s European General Counsel and European Head of Compliance. Further, LaSalle’s Global Head of Investor Relations based in Paris will also be a key internal hout limiting the generality of the above, the scope of the role is broken into several key areas:
Compliance Framework
Continually develop and update compliance systems and policies having regard to LaSalle’s objective of achieving consistent pan-European policies and practices (which minimize complexity and unnecessary gold plating), whilst recognising that local country rules require exceptions or differing approaches.
Update the firm’s regulatory watch, advise relevant staff on the implication of new and updated regulations and oversee the gap analysis and action plan required including updating the AIFM non-compliance risk maps where required,
Identify and assess the compliance risks associated with the organization’s current and proposed future business activities, including new products, new business relationships and any extension of operations.
Undertake the internal control plan and prepare compliance reports for the Compliance and Internal Control Committee. More specifically in respect of the foregoing, the candidate will be expected to carry out the following on a day to day basis :
Together with the RCCI, develop, maintain and enhance/improve the internal control framework to ensure that it is suitable for the business and operates efficiently
Implement the permanent internal control plan using our new compliance tool (with a particular emphasis on the monitoring of compliance by the firm’s employees of their compliance related obligations) under the RCCI supervision
Prepare periodical and annual reports with respect to the internal controls
Report findings to the RCCI and the business
Communicate findings to the teams, propose improvements having regard to existing business structures and requirements, and ensure follow-up
Discuss and share practices relating to internal control system with other LaSalle offices
Participate to internal committees relevant to internal control such as the Compliance and Internal Control committee
Help maintaining compliance and internal control tools up to date
Participate in creating and updating procedures and especially the paragraphs relating to compliance and to the regulation, having regard to the nature of LaSalle’s business
Help updating cartographies relating to compliance such as AML and conflicts of interest
Conduct KYC in respect of deal counterparties and maintain the process up to date
Review certain commercial documentation (presentation, press releases, investor reports, social media announcements etc.)
Assist the RCCI in providing training on compliance and internal control
Assist the RCCI on any specific subjects (ex, risk, remuneration, license update etc)
Assist the RCCI with maintenance of key compliance documents, internal policies, databases and registers (with a view to ensuring new laws and regulations are respected, whilst also keeping LaSalle’s business “audit ready”).
Provide advice to colleagues from investment management, asset management and other departments regarding compliance matters (including for example, advising on internal compliance requirements, assessing the impact of new AMF rules and EU Directives, assisting with complex KYC issues, conflicts of interests etc).
Overseeing and ensuring all regulatory reporting is completed to a highly professional standard and on time.
Liaise with the internal auditor, overseeing audits and coordinating responses to audit points.
Provide training and coaching on compliance and internal control to employees.
As a pan-European business, work with, and share best practices with, the other Country Compliance Officers.
AML/KYC Framework
Maintain, oversee and sign-off KYC and client categorization checks.
Maintain the KYC and sanctions screening framework for counterparties and tenants.
Oversee and prepare relevant analysis and reports on AML issues.
Business support
Respond to compliance questions included in invitations to tenders received from potential clients.
Support new business initiatives and products (both with respect to LaSalle Paris products and also products of other LaSalle offices that might be marketed in France).
Support new business and real estate transactions by reviewing and approving KYC, due diligence in respect of new clients, deal counterparties and tenants.
Required Qualifications, experiences and attributes:
Degree level education (legal or finance degree preferred but not a requirement).
Experience in investment management industry (in particular, a knowledge and understanding of investment structures, internal governance, best practices, and compliance monitoring experience).
Good knowledge and understanding of AMF, AIFMD and MiFID investment management rules.
Minimum 2 years’ experience in a similar function.
Confident self-starter, commercial mindset, proactive and engaged in compliance matters.
Solution focused with a strong “see it / fix it” approach and mentality to compliance, able to implement corrective measures and improvements with respect to identified problems.
Confidence with technological change and pro-active with ideas to aid efficiency and minimize complexity.
Able to build good working relationships with colleagues at all levels across the European business.
Able to identify issues and raise issues them with the business and the management in clear and persuasive manner. Being able to find the correct balance in communication between being diplomatic and protecting the independence of the compliance function.
Good communication and interpersonal skills
Confident communicating in English
Able to travel periodically to other LaSalle offices in Europe.
LaSalle is an Equal Opportunity Employer and encourages applications from all sections of the community
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