Are you passionate about Compliance? We are actively looking for a Compliance Conducting Officer to join a Leading Management Company.
Your role : Our client is one of the largest and most reputable management companies in Europe.
They work with both UCITS and AIFs, and they are looking for a Head of Compliance to set up the department and lead it.
The role will involve :
Lead the compliance function of the business and also be the MLRO;
Act as a conducting officer and manage activities about a specific portfolio (AIFM);
Identify the rules to which the AIFM is subject in the exercise of its activities and keep a record of the essential rules.
Liaise with the regulators and authorities in the capacity of Registered Compliance Officer for the Manco;
Identify the compliance risks to which the AIFM is exposed in the course of its activities and assess their importance and the possible consequences.
Oversight and review the investment activities
Ensure the identification and assessment of the compliance risk before the IFM launches a new type of activity, product or business, Advise on matters impacting the AIFM Manco;
Ensure that, for the implementation of the compliance policy, the AIFM has rules that can serve as guidelines for the staff of different AIFM functions and operational units in the exercise of their daily tasks.
Assist and advise the senior management as regards questions of compliance and rules, in particular by bringing to their attention developments in rules that may subsequently have an impact on the area of compliance.
Ensure the compliance of the funds managed and keep abreast of legal / regulatory requirements and fund industry issues;
Undertake a regular compliance monitoring (risk-based approach) and compliance risk assessments;
Put in place and update policies and procedures;
Ensure that AIFM staff are aware of the importance of compliance and related aspects and assist it in its daily activities relating to compliance.
Be a subject-matter for improvements regarding the manner in which compliance is achieved;
Prepare comprehensive written reports on compliance matters for the AIFM’s Risk Committee and Group Risk Committee;
Ensure that regulatory compliance risk is taken into account in the day-to-day operations;
Report accordingly to the other Conducting Officers, as appropriate;
Build a sustainable competitive advantage to the Company by fully integrating compliance management in daily business activities, through an effective risk analysis and mapping.
Monitor the regulatory, contractual and internal limits and measures.
Jobs requirements · Will need to be able to be approved by CSSF · Have 3rd Party Management experience both UCITS and AIF · Sound knowledge of Luxembourg regulatory environment · Excellent communication skills Benefits · Great package and benefits;
Very sociable work; · Well-diversified range of tasks; · Ability to transform and make your own mark on a company; Company profile This is with a world-
leading 3rd Party Management Company’s, and it is a very important role.
You will have the opportunity to build your vision for Compliance.