Compliance Officer
il y a 2 semaines
- Salary: €8090,000
- Location: Luxembourg, District de Luxembourg, Luxembourg
- Job Type: Permanent/Fixed Term
Role & responsibilities:
As a Compliance Officer - Investment Monitoring, you will be one central point of reference and expertise on Investment Controlling matters for funds and mandates managed by LOIM or by external Portfolio Managers.
- Participate in funds' launch discussions to appraise the investment strategy and discuss any impact on investment compliance
- Review the prospectus and investment management agreements in order to ensure they are compliant with legal requirements and consistent with LOIM internal guidelines, and that investment rules can be implemented in the compliance tool Bloomberg AIM
- Code investment rules in the compliance tool (pre
- Manage the relationship with external counterparties (external Portfolio Managers, depositaries) including understanding of the scope of investment rules and review of the accuracy of their controls
- Identify, analyze and escalate noncompliance issues with investment rules in line with our internal Breach Policies
- Escalate to portfolio managers and senior management any investment breach on a needtoknow basis
- Followup on resolution and potential compensation of investment breach
- Report investment breaches to regulators as requested (CSSF, AMF)
- Report to the Boards, committees and counterparties on investment monitoring
- Maintain awareness of investment controlling regulatory developments, assess the impact and initiate necessary changes with relevant stakeholders
- Maintain systems, databases and processes uptodate
- Provide training and advice to portfolio managers on investment restrictions and evolution of the regulations and ensure adherence to LOIM policies and procedures
- Assess eligibility of complex products and strategies upon request
- Conduct due diligence on external providers (Depositaries, Bloomberg)
- Participate to groupwide compliance projects
- Be proactive on CSSF and auditors' request on an ad hoc basis
- Develop and maintain methods to enhance procedures with respect to the Investment Controlling function
Your profile:
- University degree (or equivalent) ideally in Economics, Finance or Law
- Professional experience of ideally 5 years or more in the field of investment restrictions monitoring. An experience in external audit will constitute an advantage
- Solid knowledge of the regulatory framework (UCITS, AIFMD, CESR/ESMA guidelines). Knowledge of the Swiss /French local regulatory framework will constitute an advantage
- Proficiency in written and spoken English and/or French. German will be considered as an advantage
- Proficient skills with MS Office and Bloomberg. Competencies in coding into Bloomberg AIM will be an asset
- Good analytical, organizational, writing, synthesis and communication skills
- Ability to work both autonomously and as part of a team
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