Risk Management & Fund Compliance (UCITS & AIFS) Risk Management & Fund Compliance (UCITS & AIFS) …

99 Advisory Luxembourg
in Luxembourg
Permanent, Full time
Last application, 23 Jan 21
Fixe + variable
99 Advisory Luxembourg
in Luxembourg
Permanent, Full time
Last application, 23 Jan 21
Fixe + variable
99 Advisory Luxembourg
To reinforce our compliance team, we are looking for a consultant experienced in compliance matters for asset management companies in Luxembourg.

You will act for our clients on compliance tasks. 

In this compliance and risk management support role to our clients, some duties will be involved:

  • Compliance Program monitoring
  • Preparation of Compliance and risk management reports (to BoD and CSSF)
  • Review and maintenance of compliance and Risk policies and procedures
  • Review of controls (financial crime, data protection…)
  • Maintaining AML/CFT documentation
  • Support the risk function
  • Support compliance trainings and awareness 


Is that you ?

Your profile :

  • Master in Law or Finance
  • Experience and knowledge on AML/CFT regulations applicable to the fund industry in Luxembourg
  • Understanding of Luxembourg, respectively EU laws and regulations relevant to the fund and asset management industry (UCITS /AIFMD): 18-698, AML/ KYC, GDPR …
  • Knowledge of MIFID and EMIR regulations
  • Experience in reviewing existing control framework crafted to ensure regulatory compliance
  • on investment risk for liquid and /or illiquid assets
  • analysis and monitoring of the Risk Management indicators and reports ( Market, Credit, Liquidity, Counterparty, Operational risk etc)
  • Control of the investment restrictions, investment policies and notification process
  • The valuation process
  • Various reporting : KiiDS, Priips, Factsheets
  • Have a good understanding of the investment funds world
  • Fluent in French and English



Who we are ?


99 Advisory Luxembourg is specialized in Internal Audit and Compliance matters of Banks, Insurance and Professionals of Financial Sector in Luxembourg.

We support in Paris, Bruxels and Luxembourg more than 300 companies within 1000 projects, from Asset Managers to main Banks in the place.


We have a large range of missions from the punctual compliance assistance (a few days) to the complete delegation of the Risk Management, Compliance and Internal Audit functions (long run terms) and also AML, KYC, MLRO assistance fields.


2007. Jean Noel Lequeue creates Internal Control Expertise (ICE) SA with one objective : offers a range of compliance services, procedures, approval files, trainings, KYC/AML, internal audit, mandates….

2011. ICE SA grows again, its branch The ICE Breakers SA is born to assist it. The objective is assisting PSF and other management companies with their administrative procedures to the CSSF, as well as lawyers, solicitors, accountants, to grant them a perfection compliance with the new rules and duties in application.

2015. 99 Advisory buys the branch ICE Breaker and follows its growth known as 99 Advisory (Luxembourg) – ICE. 99 Advisory becomes 99 Group.

2019. After years of collaboration with many different actors from the financial sector, 99 Advisory launches an Insurance offer.

In 2020, 99 Group becomes Finnegan

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