At Vontobel, we are committed to actively shaping our future. We create and pursue investment opportunities that get our clients ahead.
As a global financial service provider with Swiss roots, we specialize in wealth management, active asset management and investment solutions that fit.
For our team in Luxemburg we are looking for a Senior Compliance Officer .
Your Challenge :
Identify compliance risks, establish and / or maintain appropriate compliance controls for a chapter 15 management company / AIFM 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 internal 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 - data protection and professional confidentiality - educating of staff
Support first line with complex issues in the area of account openings 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 Vontobel Group and Luxemburg -specific policies, including control functions
Maintaining and updating compliance manual incl. 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
Master of law or equivalent, or Compliance Officer certificate and compliance experience in a ManCo in Luxemburg
At least 5 - 7years of experience as Compliance Officer in the Financial Services / AM Industry in an institutional context
Language skills : excellent English skills, plus at least one other major European language
Teamplayer, results and solution oriented, self-directed and precise worker