DO Recruitment Advisors
Heisdorf-sur-Alzette, LU
il y a 4j
source : Monster


THE ROLE : The Compliance team seeks to provide the business with a proactive support and constructive challenge and carries out its work developing a sound business and regulatory understanding, while seeking to provide clear and risk-based recommendations.

We are part of the Asset Management Compliance Function, and we work closely with other Compliance units of the Group.

The role will support the Business, Financial Crime and Conduct Compliance activities

  • Provide advice, support and training to staff across the head office, branches and subsidiaries.
  • Contribute to resolving compliance issues.
  • Support business-driven projects as well as the development of the policies and procedures.
  • Conduct Compliance risk assessment and provide input to the design of the Compliance assurance programme.
  • Perform Compliance testing and assurance activities, as well as follow-up on the implementation of Compliance recommendations.
  • Perform second-line reviews over new customers, distributors and perform risk-based reviews of ongoing due-diligences.
  • Track regulatory changes in liaison with Legal units, conduct second-line impact assessments and support the first line in implementing new regulatory changes.
  • Report to Management as to the status of Compliance risks.
  • Contribute to reporting to the CSSF, Management Committee and Boards of Directors.

  • 3-5 years of experience in compliance, consulting, external audit or similar experience in the asset management industry.
  • Sound experience of Financial Crime and / or Investment Compliance related Laws and Regulations in Luxembourg, ideally gained in an asset management context.
  • Experience of UCITS / AIF Management Company related regulatory framework.
  • Excellent verbal and written communication and influencing skills.
  • Team player, with a developed sense of initiative and autonomy
  • Solutions and results oriented

    Our client is a prestigious UCITS and AIF Management Company.

    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.

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