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Senior Compliance for ManCo in Luxembourg with focus on AML/KYC and General fund compliance issues, as well as compliance-coverage of Portfolio Management activities at the company's branches (Muncih, Milan, Madrid, London).
Identify compliance risks, establish and/or maintain appropriate compliance controls for a chapter 15 management company / AIF with several branches abroad
Cooperation with local legal department regarding corporate governance issues and product related compliance issues
Liaising with internal and external audit and CSSF
Ensure adherence to law, CSSF circulars and nternal regulations with emphasis on the following operations: - AML/KYC processes at the Transfer agent - AML/KYC processes at distributors - equal treatment of investors inducements - remuneration - investor complaints - date protection and professional confidentiallity - educating of staff
Suppotr first line with complex issues in the area of account opeinings for investors from higher risk countries
Performing regular and comprehensive compliance risk assessments and testing
Co-ordination of adaptations, updating and implementation of the various specific policies, including control functions
Maintaining and updating compliance manuel including assessment of the internal control and compliance control framework
Assist Teams with potential compliance requests
Participation in Board and management meetings
Other general compliance related tasks
THE CANDIDATE PROFILE
Master of law or equivalent, or Compliance Officer certificate and compliance experience in a ManCo in Luxembourg
At least 5-7 years of experience as Compliance Officer in the AM Industry in an institutional context
Excellent English skills, plus at least one other major European language
Teamplayer, results and solution oriented, self-directed and precise worker
Our client is an active and prestigious asset manager.