- CDI, Plein-temps
- DO Recruitment Advisors
- 18 mai 19
Senior Compliance Officer - Prestigious Asset Management (M/F)
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).
- 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
Our client is an active and prestigious asset manager.