- Ensure regulatory compliance – to ensure compliance with relevant local laws, regulations, rules and adherence to the firms’ policies, procedures, manuals and the Group Compliance and Business Principles.
- Safeguard – safeguard the reputation
- Provide assurance – to provide assurances to the Money Laundering Compliance Officer and Money Laundering Reporting Officer, and ultimately the Board that the firm is adhering with local laws, regulations, policies, etc. and effective controls are in place to mitigate risks.
- Assess – to assess, report, escalate and track corrective action in respect of regulatory/ legal/ risk controls through to resolution.
- Inform – to interpret regulatory rules, guidance and practice and to ensure that the operating business and its staff are aware of what they need to do to comply with them.
- Support – to monitor Compliance departmental tasks which are time critical/ deadlines are met.
- To implement the CMP, ensuring no backlogs develop.
- To ensure that findings are accurately logged onto Navision and monitored to conclusion.
- Based on findings, suggest actions required, e.g. additional training, increased/ reduced frequency of specific tests, system enhancements where appropriate.
- To assist with provision of MI for Board reporting.
- To record and escalate significant findings to the Money Laundering Compliance Officer.
- To assist in managing and departmental workload and critical tasks, e.g. Compliance Regulatory returns.
- To ensure testing criteria remains consistent with updated systems and controls and remains effective.
- To prepare monthly and quarterly Group Compliance reports.
- Working with the business to strengthen its compliance culture by being approachable and clearly articulating requirements.
- To provide demonstrable support for the strategy
- Role model values and behaviours whilst supporting these in others to ensure focus on and alignment to our Mission and Vision.
Professional and Technical Experience
- Must have the appropriate knowledge, skills and experience to fulfil the role.
- In-depth, detailed knowledge of relevant laws, regulations, rules, codes, etc.
- Excellent technical knowledge of the Fiduciary Sector.
- Strong report writing skills.
- Excellent organisational skills.
- Ability to build and develop strong working relationships at all levels.
- High level of self-motivation and discipline.
- English with strong written and verbal communication skills are a requirement of the position.
Academic and Professional Qualifications
- The post-holder must have appropriate professional compliance qualifications or a number of years’ experience in a compliance related role.
Job Category: Compliance
Job Type: Consulting
Job Location: Luxembourg