COMPLIANCE SENIOR OFFICER (F / M)
For our office in Luxembourg, we are currently looking for a COMPLIANCE SENIOR OFFICER. We offer a dynamic and international corporate atmosphere as well as the benefit of customized training adapted to your needs throughout your career.
JOB DESCRIPTION :
The selected candidate is expected to be an appropriately skilled and qualified compliance professional who will understand and ensure compliance with the relevant regulatory regimes.
As a Senior Compliance Officer you will report directly to the Senior Compliance Manager located in Luxembourg and you will have the following responsibilities :
Ensure that Alter Domus Alternative Asset Fund Administration (ADAAFA) and Alter Domus Depository Services (ADDS) are compliant with relevant legislation and regulatory codes;
Review of the KYC files for new clients of ADDS and ADAAFA. Identification of main issues and follow up missing information in line with group processes and procedures;
Present KYC files for new clients to the Global Client Acceptance Committee;
Review KYC on High-Risk investors when escalated to compliance or during periodic review;
Identify the main risks in relation with the monitoring of existing clients;
Maintaining all registers such as Conflicts of interest, reportable events, complaints from clients, etc;
Assist Senior Compliance Manager in following up of audit recommendations both internal and external;
Reviewing compliance policies and procedures;
Providing qualitative compliance advice to the business;
Assist Senior Compliance Manager with regulatory reporting for ADAAFA and ADDS;
Assist Senior Compliance Manager with periodic reports to senior management of Alter Domus Group and Board of Directors of ADDS and ADAAFA;
Management and follow-up of KYC screening of alerts generated by Pythagoras / UBO database for
clients of ADDS and ADAAFA;
Undertake compliance monitoring programme;
Training of new joiners on new regulations, AML etc...
YOUR PROFILE :
You have a qualification specialised in the Financial Services industry. ;
You will ideally hold an appropriate qualification in compliance or AML / CFT / fraud prevention;
You have 5-6 years’ experience in compliance in the financial sector in Luxembourg. Experience in Transfer Agency would be considered an advantage;
You have very good knowledge of Microsoft office 2007 (Excel, Word, PowerPoint);
You are familiar with screening tools of clients (Word-check or other similar tools);
You are fluent in English; any other language will be considered an advantage.