Senior Compliance Officer - Manco (M/F)
DO Recruitment Advisors
Ettlebruk, Luxembourg
il y a 14j
source : eFinancialCareers



The Senior Compliance Officer will be responsible to ensure that the Luxembourg Management Company, licensed to manage UCITS and AIF funds and to provide ancillary MiFID services, its branches and MiFID entities have a best of breed compliance framework and operate within its specific license and regulatory requirements.

The scope of the position extends to several European locations and generates interaction with our offices around the globe.

The role will report directly to the registered Compliance Manager of our ManCo, which is the key platform for international distribution of the company.

Tasks and Responsibilities :

  • Being part of the EMEA Compliance Team providing advisory support to business departments and Senior Management with specific focus on Luxembourg and its European branches
  • Be appointed as the RCSI (registered compliance officer) of our French MIFID entity.
  • Maintaining the compliance framework for the Luxembourg entity, its branches in Belgium, Italy, Germany, Sweden, Netherlands, Spain and MiFID entity in France
  • Overseeing compliance monitoring activities performed and conducting desk based monitoring to provide assurance of compliance with applicable laws, regulation, best practice and firm standards
  • Develop appropriate management information for Senior Management, Fund Boards, Committees, Working Groups
  • Liaise with legal and internal audit on control issues
  • Being a member of the EMEA Regulatory Focus Group and working actively on new regulatory developments across EMEA by monitoring regulation, preparing impact assessments, advising and supporting the business
  • Participating in regulatory implementation projects such as MiFID II, PRIIPS, GDPR, MMFR, etc
  • Working closely with departments in and outside of Luxembourg in particular the Conducting Officers, Risk management, Internal Audit, the EMEA investment controlling group, Fund Accounting, TA, Legal, Sales, Product Management and the International EMEA & APAC Compliance departments
  • Participating in international compliance initiatives

  • University degree in Economics, Finance or Law
  • 5-8 years' experience in a compliance role within the asset management industry preferably gained in Luxembourg
  • Excellent knowledge of the Luxembourg regulatory environment for investment funds & firms as well as relevant European regulation such as UCITS, AIFMD, MiFID II, PRIIPS, MAR, GDPR, AML directives etc
  • Strong analytical and problem solving skills with attention to detail
  • Strong and effective communicator - both verbally and in writing
  • Strong team player
  • Collaborative approach to working with key business stakeholders and the ability to influence and build strong working relationships in a global multicultural environment
  • Very well organized self-starter, working independently and able to prioritize and manage several projects / assignments at a time
  • Fluency in English and French. Any other language would be a considered an asset
  • Proficient in MS Office applications such as Word, Excel, Powerpoint

    Our client is a leading global investment management company.

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