Head of Compliance and Internal Control – RCCI

About the job offer

Richelieu Invest, an asset management company approved by the Autorité de Marchés Financiers, is positioned as the House of active bond management for financial intermediaries and institutional clients. It offers an investment platform (discretionary management and bond, equity and diversified UCIs) to Banque Richelieu Group private clients.

Richelieu Invest is looking for its RCCI for a permanent contract as soon as possible.

As a member of the SGP (Société de Gestion de Portefeuille) Compliance and Internal Control Department, you will be responsible for overseeing all compliance and internal control procedures. Your missions will focus on the following areas:

1. Regulatory compliance

• Ensure compliance with AMF, UCITS/AIFM, MMF, MiFID II, LCB-FT, SFDR, RGPD regulations, etc.
• Implement and update internal compliance procedures.
• Monitor regulations and support their implementation.
• Train employees on regulatory obligations.
• Manage relations with the AMF (notifications, declarations, RCCI annual report).

2. Internal control / RCSA

• Define and implement the annual control plan.
• Carry out level 2 controls, monitor anomalies and corrective action plans.
• Oversee the updating of operational risk mapping.
• Contribute to the deployment of the annual Risk & Control Self Assessment (RCSA) with operational process managers and with the support of the Permanent Risk Management Function.
• Advise operational process managers on setting up or upgrading their first-level permanent controls
• Contribute to internal and external audits.

3. LCB-FT / Ethics / Conflicts of interest / Market abuse

• Assume the role of LCB-FT referent (TRACFIN correspondent/declarant, head of the LCB-FT system and head of the second-level permanent control of the LCB-FT system).
• Manage conflicts of interest, gifts and personal transactions.
• Validate KYC/AML processes.
• Implement the market abuse detection and prevention system and process market abuse alerts from the automated order and transaction monitoring tool.
• Produce LCB-FT reports (LCB-FT and QLB Internal Control Reports)

4. Regulatory reporting and relations with regulators

• Draft the annual RCCI report (FRA-RAC) for General Management and the Board.
• Prepare AMF inspections and liaise with auditors.
• Provide input on regulatory governance issues.

5. Assistance with the creation and life of products (funds, mandates)

• Participate in the review of regulatory documents (prospectuses, CID, regulations, etc.).
• Provide compliance support for product launch or modification projects
• Monitor filings with the AMF and validate the conformity of pre-contractual and commercial documents.

Profile required:

Education : Bac +5

Experience: minimum 5 years in an RCCI or compliance function within a SGP.

Skills :

Perfect command of the SGP regulatory framework

In-depth knowledge of financial products, funds and front-to-back operations

Rigor, autonomy, integrity, sense of confidentiality

Good writing (French, English) and interpersonal skills