Nassime Riazi
Compliance Officer , Citigroup
LinkedIn Profile : Nassime RIAZI
Purpose of the job : to manage, monitor and support all Business Units in the adherence to established policies and procedures, including provision of regulatory advice, encompassing risk identification. Providing advice and guidance on all policies and procedures relating the business, indentifying and mitigating risks, taking into consideration confidential information, Chinese walls and Market abuse.
128 contactsKey responsabilities :
- act as back-up to the CCCO,
- implement an effective annual Country Compliance Plan,
- Comprehend the laws and regulations, corporate policies and Citigroup Code of Conduct,
- Disseminate Compliance requirements, responsabilities and information updates to all Business Units,
- Develop procedures covering applicable laws, regulations, corporate policies,
- Complete the Compliance Risk and Control Self Assessment, put in place the Compliance Self Assessment test results and ensure that corrective actions plan are tracked,
- Assist the CCCO in managing the RCSA coordinator role for the country,
- Assure the relatinships with External Auditors, internal auditors and Regulators (US, UK and French),
- Answer to all requests/inquiries received from US, UK and French regulators,
- complete annual report to regulators,
- Follow-up AML issues and suspicious activity report to the regulator,
- Develop, implement and conduct general and specific Compliance Training programs ( AML, Maket Abuse, Induction training.....),
- Manage personal trading activities of employees,
- Review all hubs covering french tasks : MIF, Market Abuse....
- Review of client complaints and assist the business units to deliver appropriate answer to clients.
2007 - 2009Après un master 2 Professionnel Droit Pénal Financier en apprentissage pendant 13 mois à la Banque Rothschild, j'ai pu prolonger cette expérience au sein du même établissement où je suis actuellement en CDD.
Mes missions en tant que juriste compliance junior :
remise à jour des procédures anti-blanchiment en vue d’accueillir la 3ème directive, élaboration du Questionnaire Lutte Anti-Blanchiment (QLB), établissement du rapport annuel RCSI, missions de contrôle interne dans la lutte contre le blanchiment,prévention et détection des manipulations de cours et délits d’initiés (contrôle RTO, contrôle des opérations des gestionnaires, contrôle des documents d’ouverture de compte, mise sous surveillance des clients dits « sensibles », contrôle des non-résidents et expatriations), établissement des déclarations CNIL, veille réglementaire, formation des collaborateurs sur la 3ème directive LAB, élaboration d'une cartographie des risques LAB....
