REGISTERED COMPLIANCE OFFICER - PRESTIGIOUS ASSET MANAGER (M / F)
The Senior Compliance Officer role serves as either the designated Compliance Officer for an entity and / or country which involves complex products, multiple business lines / licenses, and / or cross-jurisdictional functions;
and / or the primary point of contact providing strategic leadership for one or more critical compliance functions. This role requires an extensive understanding of applicable rules / regulations, a deep understanding of the company's business, and the ability to identify opportunities to integrate local processes into global processes when feasible.
Scope : This role requires significant independence and judgment and drives compliance decisions and practices of the department and junior compliance staff.
If the individual serves as the named Compliance Officer for a regulated entity, it carries a level of risk for the individual given the regulatory requirements of a Compliance Officer.
THE ROLE :
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
Maintaining the compliance framework for the Luxembourg entity, and supporting its European branches
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
Working actively on new regulatory developments across EMEA by monitoring regulation, preparing impact assessments, advising and supporting the business
Participating in regulatory implementation projects
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
THE CANDIDATE PROFILE :
University degree in Economics, Finance or Law
7-10 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 in particular UCITS, AIFMD, MiFID II
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. French would be a great plus - any other language would be a considered an asset
Proficient in MS Office applications such as Word, Excel, Powerpoint
THE CLIENT :
Our client is one of the largest asset managers globally.
At the final stages of the recruitment process, our client can ask the successful candidate to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check may also be requested.