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Senior Compliance Officer
il y a 2 semaines
Senior Compliance Officer:
Would you describe yourself as an enthusiastic, results-oriented person with an entrepreneurial mindset? Then you'll feel right at home here.
With our system-based, pragmatic, hands-on approach, we help independent wealth managers and family offices achieve success by making their work easier.
Your Challenge
- Contributing in the implementation of the compliance and outsourcing controlling plan
- Maintaining relevant policies and procedures, conducting Compliance & AML Risk Assessments and participating in the drafting of various Compliance and AML reports
- Supervising AML control activities carried out by the Transfer Agent Department, in particular by reviewing investors' files and doing sample checks (all risk ratings)
- Being actively involved in screenings of counterparties; assessments of the results from the screening tools (PEP, sanction lists and transaction monitoring) and preparing periodically reports
- Preparation of the internal control system (ICS) in regards of AML and OC
- Performing the initial and risk based approach ongoing due diligence assessments on the delegates and Service provider (review and assessments)
- Supporting the CCO with the statutory audit, providing data to internal and external audit as required
- Provide advice to authorized management and other departments of the firm, namely the transfer agency department, on AML/CFT matters and act as escalation point in this regard
- Support the firm's and investment funds' FATCA/CRS Reporting to local authorities
- Taking over the RC ("responsable du contrôle du respect des obligations") function for several investment schemes under management and prepare the regular reports and documents required, participation and explanation RC reports in investment scheme Board meetings
- Training of new joiners (employees, interns) of the compliance team especially in AML/CFT related matters
Your Profile
- Ideally you have successfully completed a degree in Business Law, Business Administration or Economics
- A minimum of 35 years professional experience in the Luxembourg investment fund industry within a Management Company/AIFM, investment firm or a Big Four, in AML/CFT and Financial Crime Compliance
- Good knowledge of the Luxembourg fund industry and understanding of the practical aspects of the compliance functions
- You are a motivated person with a reliable and resilient personality
- You provide a serviceoriented mindset and a diplomatic approach
- You have proactive problem solving skills with the ability to develop solutions independently
- Very good PC skills (MS Office)
- Fluent in German and English
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