Senior Risk & Compliance Manager

Falkerin S.à r.l.

Strassen, Luxembourg

il y a 3j

Responsibilities :

Responsible for overseeing operational risk and both regulatory and financial crime compliance risks to the business

Ensuring that the business understands its regulatory and legislative responsibilities

Compliance responsibilities include :

Liaison with the CSSF

Interpretation of rules affecting the PFS business and identification and analysis of regulatory, and financial crime related legislative changes

Production of relevant management information for the Company and for Group Compliance

The consistent application and review of compliance policies and procedures to comply with relevant regulations and M&G Group policy requirements

Working with Group Compliance and Financial Crime Compliance (FCC) teams to provide oversight of third parties and to oversee the local branches and subsidiaries of the Company

Working with Group teams in supporting the distribution of funds across all relevant jurisdictions

Maintain Compliance processes for the approval of financial promotions and marketing literature

Delivering training to employees and developing a robust compliance culture

Approve escalated financial crime concerns; filing STR reports to the local FIU in respect of suspicious activity when necessary

Risk responsibilities include :

Implementing the Risk Management framework and processes (operational risk; incident oversight and review, risk control self-

assessment, risk appetite, action tracking)

Reviewing compliance with, and the effectiveness of the Risk Management procedures

Performing periodic risk assessments to assist management to identify, monitor and manage the risks of the Company

Performing operational incident reviews

Support the development of a Risk Management culture and awareness

Overseeing risks in relation to the branches and subsidiaries of the Company

Reporting to Senior Management, the group, authorities and regulators and other key stakeholders including the Group Chief Risk Officer

Requirements :

University degree (or equivalent qualification) with the relevant Compliance qualification (e.g. International Compliance Association, Certified AML Specialist)

Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate)

Excellent written and oral communication skills

Ability to resolve complex issues

Ability to manage and deliver change

Team player, supportive with collegiate approach

Be proactive, demonstrate well considered judgements and anticipate emerging risks

Professional knowledge of the Luxembourg legal and regulatory framework including financial crime (AML, CTF, Fraud, Sanctions, ABC and tax evasion)

Extensive regulatory, compliance and working knowledge of marketing and distribution of funds investment services within the EU is essential along with Operational Risk Management experience

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