Junior Compliance Officer - Paris

  • Selon profil
  • Neuilly-sur-Seine, Ile-de-France, France
  • Permanent, Full time
  • Kepler Cheuvreux
  • 23 Oct 17 2017-10-23

The Compliance Officer will ensure the supervision of Research, ECM, DCM and Corporate Finance operations.

Kepler Cheuvreux is a leading independent European financial services company specialized in advisory services and intermediation to the investment management industry. Founded in Paris in July 1997 as the equity brokerage business of Bank Julius Baer, the Swiss private bank, Kepler Cheuvreux has diversified its business model along the following lines:

* Equities
* Debt et Derivatives
* Investment Solutions
* Corporate Finance

The foundation of our business is the Research product which is leveraged across all four business lines.

In April 2013, the combination of Kepler and Cheuvreux created a multi-local equity brokerage powerhouse in Europe with services in Research, Distribution, Sales Trading, Trading, SmartConnect, ETFs, Corporate Brokerage and Research et Execution services to European retail networks.
Kepler Cheuvreux has established a unique European Platform in Equity Capital Markets through strategic partnerships with four European leading banks (UniCredit, Crédit Agricole CIB, Rabobank et Swedbank).

During the course of these strategic developments, the Management of the Company has been promoting the key Kepler characteristics: Independence, Entrepreneurship, Tailor-made solutions, Research-focus while remaining open to Partnerships et Strategic Alliances.

The company is present in thirteen major financial centers, including North America. This unique business model allows our analysts to be close to the companies which they research and our sales people to be close to their clients. Kepler Cheuvreux has the largest Equity Research footprint in Continental Europe.

The Compliance department is in charge of ensuring that the investment firm activities comply with market regulations and more specifically that market integrity, transparency and information barriers are in place.

It is organized around 2 pillars: one dedicated to the Execution and financial security and one dedicated to the Research, ECM, DCM and Corporate Finance operations.


Ensuring the Compliance supervision of Research, ECM, DCM and Corporate Finance operations, the Junior Compliance Officer will be in charge of the following:

* Perform on-going monitoring Compliance program that relate to the Firm's ECM activities, production and distribution of Research: control of the standards of production for research, broad-dissemination policy, independence of research, market soundings and investor feedback exercise, etc.
* Contribute to the review of the conflict of interests register
* Maintain up-to-date insider lists, Watch List and Restricted List
* Assist in the validation process of contact requests between ECM Partners/ Corporate Finance staff and Analysts, pitch meetings and/ or deal-related company roadshows
* Contribute to responses to information requests from competent regulating authorities and market operators (investigations, audit missions...)
* Participate in the regulatory watch and broker developments in the fields of market abuse and transparency.

Profil recherché :


The candidate should meet the following requirements:
* Graduate degree from a Business School or University in a legal or finance field
* A minimum of 2 years of experience in a Compliance role (including internships/apprenticeships/VIE) within a Broker, BFI, Management Company or Consulting firm
* General knowledge of market regulations
* Excellent knowledge of Excel and good command of Microsoft Office
* Ability to work both independently and in a team environment
* Good communication skills
* Fluent in French and English