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Chief Complience Officer
il y a 2 semaines
Ref:
LC1180
Location:
Luxembourg
Posting date:
25 Jul 2023
Job type:
Permanent
Salary
Negotiable
Overview
A leading investment management firm is looking to appoint a Chief Compliance Officer to join its Luxembourg-based office.
As the Chief Compliance Officer, you will be responsible for the firm's compliance functions and also serve as the MLRO, managing a small team to ensure an effective compliance programme.
Key Responsibilities
- Provide advice and guidance to the business on relevant regulatory issues
- Develop, initiate, maintain and revise policies and procedures
- Ensure an effective annual compliance monitoring plan
- Provide regular reports to keep the Board and senior management informed of the operation and progress of compliance efforts
- Be the firm liaison with the Commission de Surveillance du Secteur Financier (CSSF), the Commissariat aux Assurances (CAA), and other regulatory agencies as necessary
- Manage the complaints handling process and the annual compliance training programme
- Oversee AML process and procedures, including approval complex and/or EDD AML cases
- Work with members of the global legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation
- Respond to alleged violations of rules, regulations, policies or procedures by evaluating or recommending the initiation of investigative procedures
Skills, Knowledge & Experience
- Adequate qualification certificates in compliance and AML
- 7+ years of experience in financial services compliance
- Familiarity with MiFID and other investment firm regulations of the CSSF, the CAA regulations pension advice, and various country tied agent requirements
- Demonstrated leadership and people management skills
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