Senior Compliance Officer AM Luxembourg (70-100%)
Vontobel Holding AG
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Your Challenge

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
  • Your Qualification

  • 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
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