Compliance Officer & RC (m/f)
- 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.
- 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