Chief Compliance Officer

  • €100000 - €130000 per annum
  • Luxembourg
  • CDI, Plein-temps
  • Selby Jennings Germany
  • 04 sept. 17 2017-09-04

My client a well respected Investment Management Firm is looking for an experienced Chief Compliance Officer.

Your tasks:

  • Monitor client activity and AUM  i.e., portfolio management/investment advice/customer visits to ensure compliance with the agreed risk limits;  ensure any personal transactions are free from conflict of interest. Discuss any anomalies or conflict of interest with the appropriate Portfolio Manager/Advisor and/or directly with line management.
  • Overseeing the implementation of projects and other initiatives (e.g. changes in industry best practice, implementation of regulatory reform)
  • Own the preparation and submission of all required regulatory and other internal reports. Prepare and submit authorised reports