Compliance Officer (m/f)
Transman International
Müllendorf, LU
il y a 5j
source : Monster

Our client, an Asian securities company, is currently searching to recruit, for its Luxembourg-based wholly owned-subsidiary, the following profile :

Compliance Officer (m / f)

Responsibilities Ensure a compliance service within the Bank

  • Assist upon request the Directors and Heads of department on compliance matters (analyze the issue, conduct research and edit opinions, articles or other documents related)
  • Assist, from a Compliance point of view, the Head of Legal during the preparation, drafting, negotiation and review of all legal contracts and documents for the structure and its clients
  • Anticipate and beware of compliance risks threatening the structure and keep updated on new laws and regulations which could impact its business
  • Maintain / up-date compliance monitoring plan of the structure as appropriate and carry out the related regular compliance checks and controls
  • As part of regulatory watch duties perform detailed reviews of specific regulatory issues to establish the impact on internal systems and procedures and the up-date the appropriate log
  • Perform KYC reviews. Assess client risk prior to account opening and conduct ongoing monitoring of clients (including their transactions) and relevant counterparties of the structure
  • Give advice and support to staff on compliance related matters, such as governance aspects, AML / CTF, MIFID, FATCA / CRS, QI, Data Protection, etc
  • Ensure the record keeping and management information system, including the record keeping of correspondences with regulators
  • Participate and lead (where required) specific working groups or projects implementing new regulation and liaise with external advisors as appropriate
  • Support the department in the absence of other team members
  • Provide standard and ad-hoc information and data reports to regulators, auditors and Group
  • Contribute to the smooth operation of the department

  • Follow-up on internal procedures, industry rules and regulations and report their evolution to the Head of Compliance & Legal Department
  • Ensure the ongoing identification, assessment and management of compliance risks relating to the current and future activities of the structure
  • Develop and ensure the implementation and drafting of Compliance related policies / procedures according to local, European and international laws
  • Profile

  • Degree educated in Law or Economics
  • 4 to 6 years of relevant working experience ideally in a depositary bank, or experience as legal counsel in a law firm or as regulatory and compliance consultant in a consulting firm
  • Excellent knowledge of automatic tools linked to KYC & KYT (Pythagoras, Ucomply, etc)
  • Fluency in English is a must - French will be a plus
  • PC literate - basic knowledge of Olympic
  • Strong organizational skills
  • Pro-active attitude to problem solving
  • Demonstrate motivation, attention to detail
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