Compliance& Legal Officer H/F
Fab Careers
il y a 24j

A. Responsibilities

The Compliance Associate will, under the supervision of her / his manager and other senior members of the European Legal and Compliance department, be mainly responsible for legal and compliance requirements applying to the Luxembourg -

based investment funds and discretionary portfolio management operations , a CSSF supervised UCITS management company. The Associate will interact with the London and Geneva based members of the European Legal and Compliance department and more broadly with Legal and Compliance associates in the US and Asia.

The Compliance Associate will have the following main responsibilities, in consultation with her / his reporting manager and other members of the European Legal and Compliance team.

A. Funds compliance (50%)

Providing compliance review, monitoring and support applying C - Luxembourg Chapter 15 Management Company license to the Conducting Officers under the supervision of Compliance officer,

  • Supporting the CIMC board and Luxembourg fund board secretary;
  • Drafting internal policies and procedures;
  • B.Capital Group Luxembourg funds infrastructure (40%)

  • Drafting and filing prospectus changes and related documentation;
  • Coordinating product & share class creation and review with Capital teams, external lawyers, auditors and banks;
  • Primary contact for funds related questions for all Capital teams, auditors and banks.

    C.General Legal & Compliance support (10%)

  • Monitoring regulatory developments across the relevant areas of coverage and more generally helping with the regulatory watch of all of the above matters;
  • Providing training to local associates on the above matters, where relevant;
  • Acting as the Business Continuity Plan and Disaster Recovery coordinator for the European Legal & Compliance team;
  • Assisting in placing and lifting of freezes on securities trading.

    B. Required Profile

    University degree, of which a Law or Compliance degree or other relevant certification is a plus.

    Minimum two to three years of relevant compliance experience in the financial industry (asset management, mutual funds, or banking), or within a law firm, consultancy and / or audit firm.

    Knowledge of the Luxembourg funds legal and regulatory framework.

    The candidate should imperatively be fluent in English and French.

    Strong organization and analytical skills and team player; the candidate is able to work independently and within a team, is a self-

    starter, and someone with adequate negotiating skills to interact with internal clients, external service providers and / or regulatory bodies.

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