Junior Investment Compliance Officer (m / f)
We our looking for a Junior Investment Compliance Officer to join the Investment Compliance Team.
Your mission will consist in Monitoring the Investment Compliance on assigned clients’ funds as per the CSSF and ESMA regulations
DAILY PRODUCTION :
Reporting to the Head of Investment Compliance, the Investment Compliance Officer carries out fund compliance monitoring functions on assigned clients’ funds;
Monitoring day-to-day fund compliance under the supervision of the Head of Investment Compliance and ensures that breaches are reported to clients and management promptly and accurately;
Ensuring that periodic Investment Compliance Monitoring checks are completed on client funds, assessing rule violations to confirm breach validity and communicating breaches to clients in a timely manner;
Analyzing compliance breach, identifying root causes, and resolving issues.
BREACHES MANAGEMENT :
Breaches reporting to client and breaches follow-up (escalation process, files updates),
Drafting CSSF 2002 / 77 Notification for active breaches and submit it to immediate superior,
Assist with preparing standard and ad-hoc information and data reports to regulators and other stakeholders as required (Board reporting ).
QUERIES MANAGEMENT :
Client queries management in relation to investment compliance topics (pre-trade analysis, eligibility analysis ).
Data management in internal database
FUND SET-UP :
Prospectus analysis and rules definition (IC rules matrix creation and update),
IC Rules Matrix and Test Reports validation,
Bac +4 / +5 in economics, finance, law or similar
Minimum 1 year of experience working in a financial environment;
Fluent in English. French is a plus
Autonomous, highly motivated, fast learner
Proven problem solving skills
Knowledge of financial markets, in particular key features / data associated with a wide range of financial instruments including equities, fixed income, money market instruments, UCI, commodities, and derivatives
Analytical thinking, keen perception
Good oral and written communication skills
IT skills (Microsoft Office, Bloomberg )
Who we are
Founded in 1993 as an independently-owned society, Lemanik Asset Management S.A. has become a leading third party Fund Management Company in Luxembourg, being both UCITS V compliant and AIFM authorised.
Luxembourg based, with offices in Dublin, Hong Kong and Milan, our seasoned and highly dedicated team of over 80 experts provides substance, governance, compliance and risk management support to more than 50 Asset Managers across Europe, Asia-
Pacific, the Middle-East and the United States.