Compliance Officer 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 (Munich, Milan, Madrid, London)
SENIOR COMPLIANCE OFFICER - PRESTIGIOUS ASSET MANAGEMENT (M/F)
- Compliance Officer 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 (Munich, Milan, Madrid, London).
- The challenge: 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 issuesLiaising with internal and external audit and CSSF.
- Ensure adherence to law, CSSF circulars and internal regulations with emphasis on the following operations: AML/KYC processes at the Transfer agentAML/KYC processes at distributors equal treatment of investors - inducements - remuneration investor complaints data protection and professional confidentiality educating of staff.
- Support first line with complex issues in the area of account openings 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 manual 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 language skills, plus at least one other major European language.
- Team player, results and solution oriented, self-directed and precise worker.
Our client is an active and prestigious asset manager.
At the final stages of the recruitment process, some of our clients could ask the successful candidate to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check might also be requested.