SENIOR COMPLIANCE OFFICER/MANAGER (M/F)
DO Recruitment Advisors is excited to represent a Fund Manager boutique, which are looking for their new Senior Compliance Officer/Manager. Our client is currently applying for AIFM license in Luxembourg; therefore first 6-12 months the Company will be start-up environment.
You would be expected to assist in Conducting officer in charge of Compliance and Risk with following tasks:
• Review and updating necessary policies and procedure to new requirements or updating existing policies. Ensuring board sign off of all policies annually /when a material change occurs;
• Preparing comprehensive reports for committees/management/Board;
• Producing the Compliance Monitoring Programme;
• Undertaking on-going compliance monitoring on the basis of a risk-based Compliance Monitoring Programme;
• Undertaking compliance risk assessments;
• Making recommendations for improvements regarding the manner in which compliance is achieved;
• Providing advice and assisting the staff of the AIFM on the regulatory implications of actual and new regulations and changes to the business;
• Working with our Administrators to ensure that KYC onboarding process is completed and is in line with the AML policies;
• Oversight on delegates (i.e. due diligence and reports);
• Pre-trade and post trade compliance checks;
• Telephone Recording and email surveillance monitoring;
• Maintaining the compliance registers (e.g. complaints, conflict of interest, breaches, gifts and inducements, restricted list, GDPR);
• Chaperoning expert calls; and Allocating and monitoring all compliance training is completed.
• Assisting with data protection matters
• Acting as a MLRO
• Registering funds with CSSF and dealing with CSSF correspondence
• Advising the firm on marketing requirements e.g. pre-marketing rules in EU/outside EU and approving marketing material
THE CANDIDATE PROFILE:
• An individual with 6-8 years' experience in compliance;
• Keen to learn and develop;
• Using your own initiative
• Knowledge and expertise in aspects of topical and sensitive regulatory regimes such as, but not limited to, AIFMD, GDPR etc;
• Capable of meeting deadlines i.e. organisation and time management;
• Sound knowledge of the relevant regulatory framework in Luxembourg and UK (desirable)
• Strong interpersonal skills and a great team player
• Ability to solve complex problems and streamline processes
• Excellent communication and organisational skills
• Knowledge of Private Debt and Private Equity market
Our client is a Fund Manager boutique, 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.