• CDI, Plein-temps
  • DO Recruitment Advisors
  • 18 mai 19

Senior Compliance Officer - Prestigious Asset Management (M/F)

  • Luxembourg
  • Negotiable
  • Plein-temps

Dear all, one of our client is looking for a Senior Compliance Officer with focus on AML/KYC and General fund compliance issues, as well as compliance-coverage of Portfolio Management activities at the company's branches.

SENIOR COMPLIANCE OFFICER PRESTIGIOUS ASSET MANAGEMENT FIRM (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 (Muncih, Milan, Madrid, London).

THE ROLE


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 issues
  • Liaising with internal and external audit and CSSF
  • Ensure adherence to law, CSSF circulars and nternal regulations with emphasis on the following operations: - AML/KYC processes at the Transfer agent - AML/KYC processes at distributors - equal treatment of investors - inducements - remuneration - investor complaints - date protection and professional confidentiallity - educating of staff
  • Support first line with complex issues in the area of account opeinings 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 manuel 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 exerience as Compliance Officer in he AM Industry in an institutional context
  • Excellent English skills, plus at least one other major European language
  • Teamplayer, results and solution oriented, self-directed and precise worker


THE CLIENT


Our client is an active and prestigious asset manager.