Investment Compliance Controller - CDD - M/F-
Société Générale
LU
il y a 8h

Environment

Société Générale Securities Services (SGSS), the Securities business line of Société Générale Group, is one of the main Administration and Custody actors for mutual funds in Luxembourg.

We offer a complete range of services for institutional clients : liquidity management, compensation, depositary and conservation services, funds administration and asset servicing, transfer agent and issuer services.

Mission

In order to strengthen the Investment Compliance Team within SGSS, we are looking for an experienced Investment Compliance Controller.

Fund Investment Compliance is a task delegated by funds (or their Management Company / AIFM) to SGSS, which is then in charge of ensuring that the fund’s portfolio of assets is compliant with the applicable regulatory (UCITS, SIF, AIFMD) and statutory (prospectus) ratios.

In particular, the Investment Compliance Controller will :

  • Monitor the proper respect of applicable regulatory and statutory rules via our Investment Compliance Tool;
  • Perform regulatory eligibility analysis;
  • Analyze the reported breaches (based on Compliance Tool outputs, fund accounting reports) and assess their accuracy;
  • Assess whether the breaches are active or passive;
  • Report promptly to the client the breaches and the result of the assessment;
  • Discuss and challenge the client in case of difference of interpretation;
  • Perform the impact analysis when relevant;
  • Follow-up the remedial action plans on breach resolution;
  • Perform CSSF declarations with the validation of the management;
  • Actively participate in data quality management and improvement of the existing controls;
  • Reporting generation and sending to the clients.
  • Profile

  • A Bachelor / master degree in Finance / Business administration (or working towards such a qualification);
  • Sound knowledge of the Luxembourg investment fund’s environment from a fund compliance and legal perspective, especially in terms of investment techniques and instruments
  • Sound knowledge of the role of the key fund industry actors and related activities : depositary bank, fund administrator, transfer agent, management companies / AIFM, auditors, CSSF;
  • Ability to work independently and excellent analytical skills;
  • Organization skills;
  • Structured and solution oriented working methodology;
  • Dedication and team spirit;
  • High level of commitment and interest to work in a dynamic and demanding environment;
  • Good communication skills (including reasonable written / oral mastery of English);
  • Liaise with clients, lawyers and regulators on compliance and regulatory issues.
  • Evolution

    Our Recruitment process :

    The short-listed candidates will be invited to perform a reasoning test, a personality questionnaire and to one or more face to face interviews in order to discuss about their experience, skills and values.

    In order to finalize the recruitment process, the selected candidate will have to present a certain number of supporting documents before his integration (copy of diplomas, proof of previous jobs, and possibly an extract of the criminal record (bulletin n 3 for the Grand Duchy of Luxembourg).

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