We are delighted to represent a boutique Fund Manager, who are looking for a Risk & Compliance Conducting Officer to join their small team.
CONDUCTING OFFICER RISK AND COMPLIANCE (M/F)
DO Recruitment Advisors is delighted to represent a boutique Fund Manager, who are looking for a Risk Conducting Officer to join their small team. Our client is currently applying for their AIFM license in Luxembourg; therefore first 6-12 months the Company will be start-up environment.
THE JOB :
• Providing advice on the regulatory implications of new regulations and changes to the business profile. Ensuring that the Company's compliance programme is kept up to date and fit for purpose.
• Undertaking on-going compliance monitoring on the basis of a risk-based compliance monitoring programme.
• Undertaking compliance risk assessments.
• Monitoring the operations of the complaints-handling process and considering complaints as a source of information in the context of its monitoring responsibilities.
• Monitoring the development and periodic review of the Company's product governance arrangements.
• Making and effecting recommendations for improvements regarding the manner in which compliance is achieved.
• Preparing comprehensive written reports on compliance matters for the Board; and
• Ensuring that regulatory compliance risk is taken into account in the Firm's day to-day operations.
• Risk analysis and risk mapping
• Development and update of company procedures and processes, in particular related to risk management.
• Risk management and investment compliance monitoring processes
• Definition of risk profiles alongside risk mitigation
• Monitoring of the regulatory, contractual and internal limits and measures (entailing keeping up to date with regulatory changes and evolution)
• Quality controls of data and reports (in particular, reporting and escalation to the Board)
• In charge of monitoring regulatory changes, or experience in audit, assessment of a Company's compliance with the applicable laws and regulations, etc.)
THE CANDIDATE PROFILE:
• University degree in either law, finance, accounting or economics
• At least 7 years of professional experience within an AIFM;
• The role requires strong facilitation and communication skills with the ability to interpret and transform identified risks into relevant monitoring and reporting, including regulatory reporting;
• Strong organisational skills, strong problem‐solving skills, strong attention to detail;
• Very good understanding of the processes in a fund management company, along with good knowledge in financial and operational risks
• Fluent in English and French.
Our client is a boutique Fund Manager, launching their AIFM in Luxembourg and investing in Private Equity/Private Debt funds. At the final stages of the recruitment process, the successful candidate can be asked 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.