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The Compliance Officer will be responsible to ensure that the Management Company, licensed to manage UCITS and AIF funds has a best of breed compliance framework and operate within its specific license and regulatory requirements. The primary focus of this role will be to conduct compliance monitoring and controls testing reviews across the Management Company. The key objective of each review is to assess the adequacy and effectiveness of internal controls and to address compliance with local regulatory requirements.
Job ResponsIbilities : - Assist with developing and implementing a risk-based compliance monitoring program (CMP), identifying, assessing, monitoring, reporting, making recommendations and ensure an effective follow-up of all material compliance risks.
- Key responsibility for day to day monitoring and reporting of compliance risks.
- Maintain an understanding of relevant regulatory requirements to provide advice and guidance to the senior managers enabling them to implement compliant policies and procédures.
- Assist with the compliance risk assessment process ensuring that the compliance risks are appropriately identified and assessed.
- Ensure the good implementation at the Management Company level of the ongoing Client File Review.
- Assist with preparing standard and ad-hoc information and data reports to regulators and other stakeholders as required.
- Review compliance policies and procedures on a regular basis to ensure they comply with Group Procedures and Policies and with statutory and regulatory requirements.
- Support the Conducting Officer in charge of the Compliance in the development and maintenance of effective and efficient interaction with regulators.
Qualifications : - Good knowledge of all banking services, asset management and a thorough understanding of regulations and risks affecting the Management Company including anti-money laundering, market abuse, investors protection - Masters degree in Finance, Economy or business law
Skills : - Good knowledge of the fund industry and the legislative environment of Luxembourg funds - Integrity and discretion - Independence and objectivity - Capability to analyse complex issues - Regulatory and business oriented - Ability to federate and deal with various departments of the Bank - Good organisational skills
Languages : - English and French are required - Any other languages is an asset
To apply for this position, please send your CV and cover letter, in French, to: firstname.lastname@example.org