Business Compliance Manager
il y a 4 semaines
Pictet is an investment-led service company, offering wealth management, asset management and related services. We are a partnership of eight owner managers and our principles of succession and transmission of ownership have remained unchanged since founding in 1805.
Our purpose is to build responsible partnerships with our clients, communities, and the companies in which we invest, in order to safeguard and transmit wealth, of all kinds, in the service of the real economy.
With more than CHF 612 billion in assets under management or custody at 31 December 2022, Pictet is today one of the leading Europe-based independent wealth and asset managers.
The Group is headquartered in Geneva, where its activities began, and employs more than 5000 employees. With 30 offices, it is also present in Amsterdam, Basel, Barcelona, Brussels, Dubai, Frankfurt, Hong Kong, Lausanne, London, Luxembourg, Madrid, Milan, Monaco, Montreal, Munich, Nassau, Osaka, Paris, Rome, Shanghai, Singapore, Stuttgart, Taipei, Tel-Aviv, Tokyo, Turin, Verona, Shanghai, New York and Zurich.
Your team
The Pictet Group is one of the world's leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented at 30 offices in financial centres worldwide, and currently employs over 5200 people. Pictet has been present since 1989 in Luxembourg, where it employs over 700 people.
FundPartner Solutions provides a full suite of fund administration and private label funds services. The global team of industry experts specialises in fund domiciliation, registration and governance, as well as risk compliance and investment management services.
Technology & Operations design and integrate software applications ranging from portfolio management systems, trading platforms to banking and corporate solutions. The division is responsible for some of the Group's key innovations while sustaining business operations and developing custodian and funds administration services.
Your role as part of the Business Onboarding and Monitoring Team will be to analyse account opening files of new and existing clients and realise the compliance daily controls. You will supervise account openings of FPS Europe, covering all the business lines of Pictet Group, and take part in account opening activities (analyse account opening instructions, ensure compliance with anti-money-laundering (AML) rules and regulations, present cases to the second line of defense). You will also advise and provide guidance to the FPS Europe stakeholders on all AML onboarding and monitoring compliance issues.
Your role
As part of the Business Onboarding and Monitoring Department, and reporting directly to its manager, you will be mainly responsible, together with the other staff in the department, for carrying out activities related to the supervision of compliance with the company's anti-money laundering and anti-terrorist financing (AML) rules.
The team's duties include the following:
- 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 reviewing the results from the screening tools (PEP, sanctions lists and transactions monitoring).
- Carrying out a set of quality controls, both of the activities of the Transfer Agent Department and those of the company's other departments involved in relationship-opening procedures.
- Adapting the company's procedures to bring them into line with regulatory developments in the field of AML and advice on the best practices.
- Being at ease with regulations and providing advice/assisting the staff on the regulatory implications of current and new regulations and changes to business.
- Producing and sending out different types of reports as part of the team's activity.
- Taking part in different projects (business development as well as IT and organisational projects, etc.) that involve the team.
- Being involved in presenting the team's activities to both in-house and external clients, including when regulatory changes occur.
- Liaising internally in a timely and efficient manner with the other teams: work with business, serve as point of escalation and provide necessary support.
- Overseeing the adequate and effective implementation of the dedicated framework.
- Undertaking ad hoc thematic reviews or special requests.
- Training for the business and training junior business compliance manager or trainee in the team.
Your profile
Qualifications and experience:
- University degree (BAC +5 minimum) in Economics, Law or Finance.
- 2 years of relevant experience in the area of AML, compliance and investment fund industry.
- Strong IT skills, Microsoft Office and name screening & transaction monitoring tools.
Specific knowledge:
- Good knowledge of Luxembourg AML legislation.
- Sound grasp of the various roles in the investment fund industry, and more particularly of the operating mechanisms of a management company, but also of a custodian bank, transfer agents, fund administration and the related regulatory framework.
Language skills:
- Written and spoken fluency in French and English.
- Knowledge of another European language would be an asset.
Note
We will not accept any CVs from agencies.
In accordance with the provisions of the Luxembourg law of 23 July 2016 amending the law of 29 March 2013, candidates may be required to provide an extract from their criminal record. This document, issued by the authorities, must not be older than three months. Such a document will be requested with the aim of carrying out a character check on candidates, bearing in mind the area of activity of our establishment and, more particularly, the tasks described in the job description.
Flexible and modern ways of working
As a responsible and supportive employer, we promote the well-being of our employees through a set of flexible working arrangements, ranging from a work-from-home policy for eligible functions to opportunities for annualised part-time leave and extended parental leave.
Note
We will not accept any CVs via agencies
Diversity & Inclusion
Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.
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