As Conducting Officer in charge of Compliance, you will provide executive leadership to the Compliance function so that they are considered to be 'Best in Class' within the Industry.
My client is an asset manager, looking for a new leader in the compliance department.
Provide executive leadership to the Compliance function so that they are considered to be 'Best in Class' within the Industry.
Identification of key areas of emerging and or developing risk
Maintain compliance policies and procedures to assist with the control environment.
Encourage the team to develop practical operating procedures.
Provide oversight of Compliance activities and ensure a framework is in place to ensure compliance with relevant regulatory requirements.
Support and advise the Group Chief Compliance Officer in forming a view on the nature and level of risks
Maintain the operating structure of risk monitoring and reporting
Ensure that all key risks are measured and appropriately monitored and that consistent and accurate reports are produced to Authorized Management and Board.
Ensure adequate arrangements are put in place to address any new regulatory requirements.
Ensure that compliance breaches are reported to Authorized Management and the relevant operating boards in a timely manner and that remedial action is taken where necessary.
Ensure that specific regulatory issues are adequately tracked and followed up.
Ensure regular reporting to the Group to satisfy regulatory information needs in a timely manner.
At least 10 years of experience in Compliance in the investment funds industry
Already Conducting Officer Authorized by the CSSF is an asset
Fluent in German & English
Manage your own team
Have a real input on the daily processes
Increase your potential
Develop your market value