Compliance Officer & RC (m/f)

Key responsibilities:

  • Assess the AML risk exposure of the AIFM, the funds managed and counterparts.
  • Be in charge of the compliance advisory on the follow topics: applicable rules and regulations, the resolution of Compliance related queries, oversight of AML process and risk assessment, day to day Compliance support for the operation teams.
  • Participate to the regulatory gap analysis, implementation, development and maintenance of the AIFM compliance related policies and procedures – and monitor the compliance with the AIFM regulatory requirements on all activities.
  • Support the « Responsable du Contrôle » of the company in the conduct on the corresponding controls, monitoring to ensure they are performed with the highest quality and timely manner.
  • Participate to the coordination and implementation new and/or amended group or jurisdictional compliance and reporting standards (including non-Luxembourg regulations when appropriate).
  • Set up procedures and reports specific to the AIFM that fit in Group policies and principles.
  • Monitor and report on Compliance issues to the management in line and potentially to Funds Board esp. in line with Compliance with relevant investment restrictions and pricing policies, where appropriate.
  • Provide help, guidance and direction to other employees in relation to AIFM AML related queries.
  • Remain informed and up to date on regulatory developments affecting the business and contribute to assessing their impact.
  • Support responses to consultations and suggest necessary changes to policies, procedures and processes.
  • Perform second line of defence reviews of transactions and funds risk ratings and monitor the transactions approved by the AIFM in accordance with the policies.
  • Oversee the due diligence process over delegates of the AIFM, support the oversight of delegated AML processes and risk assessment by analysing KPIs and data provided.
  • Participate to client and funds onboardings and AML/KYC assessments.
  • Provide support for internal and external audits, and AML related internal audits points.

Key requirements:

  • University degree in in Economics, Finance, Law or Risk Management,
  • Minimum of 3 to 5 years of experience within Compliance, Risk or Audit area,
  • Strong understanding of regulations applicable to Luxembourg management companies (i.e. governance, AML, investor protection, rules of conduct, KYC, delegation oversight …),
  • Excellent analytical skills, highly detail oriented, thorough, with excellent organizational and communication skills, the ability and eagerness to learn quickly,
  • Excellent communication, organisational and timekeeping skills,
  • Proactive with a client service orientated attitude,
  • Strong relationship management skills,
  • A self‐starter, can-do attitude, willing to take ownership in processes/projects. Ability to work in a very dynamic environment,
  • Fluent in English, both spoken and written. Able to draft reports in plain English.

The work permit is mandatory!

Job Category: Compliance
Job Type: Permanent
Job Location: Luxembourg

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