Senior Compliance Officer and RC (m/f)

About the role
In this context, the Compliance Officer:
• assists the Chief Compliance Officer (CCO) on and the Conducting Officer (CO) and Compliance and financial crime matters to ensure that the firm and its branches remain fully compliant with all applicable regulations (excluding financial regulations)
• acts as the designated RC of relevant Funds managed by the Company.
In this role, your main responsibilities will include the following:
• Assist the CCO and RC in the identification and assessment of the AML/CFT and compliance risks through maintenance of a compliance monitoring program, assessing adequacy and effectiveness of controls, policies, and procedures; propose actions to address any deficiencies; ensure compliance policies and procedures are adequate
• Manage and mitigate the compliance and AML/CFT risk in a holistic manner and ensure timely completion of the compliance plan.
• Close follow up in regulatory development and maintenance of the regulatory watch
• Support the Money Laundering Reporting Function, appropriate provision of information to senior management, appropriate measures to ensure the effective control of money laundering risk within the firm’s day-to-day operations, including the new clients on-boarding and changes to the firm’s business profile
• Conduct periodic AML/CFT and compliance monitoring and testing to assess the effectiveness of existing controls and processes, and making recommendations for improvement
• Keeping up-to-date with changes in applicable laws and regulations and advising the management team on the impact of these changes on the business
• Coordinating the review/writing of policies and procedures
• Provide advice proactively on compliance matters in connection with both existing and new business proposals, as prioritised by the CCO
• Support advisory queries from the business and external parties;
• Escalate any material compliance/regulatory concerns or issues to the CCO as required;
• Investigating and reporting any AML/CFT and/or compliance breaches or violations to the appropriate authorities, and assisting in the resolution of any related issues;
• Ensure the prompt completion and filing of required daily and ad-hoc regulatory returns and reports;
• Assist in the preparation of the annual and periodic reports for the Conducting Officers, the board of directors and the CSSF and any other relevant regulators;
• Prepare the reports to be delivered to the RR and Board of Directors of the Funds
• Coordinate with internal and external auditors on compliance-related queries
• Providing guidance and training to employees on compliance-related matters, including anti-money laundering (AML) and know-your-customer (KYC) requirements;
• Participating in industry working groups and forums to stay informed about best practices and emerging trends in AML/CFT and compliance


Your profile :
• A university degree in Law or Audit and an adequate professional experience in a relevant Compliance position
• Minimum 10/15 years’ experience with similar experience in Fund industry
• Experience as RC
• Excellent written and verbal communications skills; Fluent, both written and orally, in English. French would be an asset.
• Team player with excellent organizational skills and able to work to tight deadlines
• Good understanding of the relevant rules and regulations for compliance theme areas, including Marketing, AML/KYC laws, MiFID, FATCA/CRS and Luxembourg’s regulations and CSSF Circulars related to Compliance and Funds.
• Proficient with MS Office.

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