Senior Risk & Compliance Manager
Falkerin S.à r.l.
Strassen, Luxembourg
il y a 6j

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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