Senior compliance officer - Asset Management

Autres détails


The Senior Compliance Officer reports directly to the Chief Compliance Officer. S(he) will be involved in internal controls and procedures to ensure that Luxembourg Business adheres to regulations, and will ensure that appropriate compliance-related management information is produced and reviewed at appropriate intervals.

Key Responsibilities
• Client acceptance and on-boarding processes
• Ensure compliance of the company with applicable regulations
• Ensure compliance of the existing policies and procedures, monitoring and interpretation of regulatory requirements, implementation and analysis of regulatory changes, drafting and/or reviewing of policies, procedures
• Manage the clients complaints
• Provide compliance advisory support to the Manco, monitoring and follow- up on compliance findings, cooperation with internal audit, compliance reports to the Boards and Management Committee
• Oversee the activities which have been delegated to external parties (i.e.Registrar and Transfer Agents activities)
• Ensure that compliance and AML/CTF related queries and respective ad-hoc projects from various sources are dealt with and provide technical assistance to staff where required
• Completion of ad-hoc projects and dealing with a wide range of queries from various sources
• Maintain the Compliance Monitoring program and develop the Compliance monitoring plan
• Manage the relationship with the CSSF, lawyers, auditors…


• You are able to work under pressure and to respect deadlines
• You have effective strong written and oral communication skills
• You are proactive, open-minded, rigorous, responsible and a fast learner with a dynamic personality
• You have an inquisitive mind and analytical skills
• High commitment, motivation and willingness to take on responsibility
• Ability to work in autonomy while displaying team spirit

• University degree in Legal, Business or Finance
• A minimum of 4 years of working experience in compliance in the financial sector, preferably in Asset Management
• Strong understanding of regulations specifically applicable to Luxembourg management companies (i.e. internal governance, delegation oversight, etc.)”
• Prior experience in and solid understanding of Compliance and AML/CTF frameworks, policies and procedures applicable in asset/investment management or similar roles
• You are fluent in English, both written and verbal, French or Spanish will be considered as an strong advantage
• Good command of MS Office (Word, Excel, PowerPoint)

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