Compliance executive M/F

il y a 24 heures

Luxembourg City Hays Temps plein

Our client is a specialist fund management company that takes pride in having a distinct culture and approach to running money. The company launched in 1995 and listed on the London Stock Exchange in 1999. They are an independent business with no corporate parent, their head office is in London, and they have offices in Edinburgh and Luxembourg.

They are looking for a Compliance Executive to join their team in Luxembourg with a permanent contract.

Purpose of the role :

Reporting to the Compliance & Risk Officer the Compliance Executive is responsible for
  • Ensure (our client name) complies with the various CSSF regulations applicable to a PFS Investment and its regulatory obligations in the jurisdictions where its branches are located.
  • Review and apply the various policies and procedures applicable to (our client name) within a Compliance Manual document.
  • Identify, mitigate, monitor and report on risks to the business
  • Ensure that the cross border obligations are respected in the countries where the investors are targeted
  • Implement the AML/CTF policy and procedures such as the performance of the desktop-based KYC and due diligence of potential investors and sub-distributors.

Help the Compliance & Risk Officer with the internal and external auditors requests.

Detailed responsibilities :

  • Responsible for assisting with the set up of (our client name) to comply with the various regulations relevant to the entity.
  • Responsible for managing, updating and putting in place the various Policies and Procedures that are relevant to LESA
  • Review International Financial Promotions and ensure that cross border obligations are respected in the countries where the meetings are taking place.
  • Review regulatory developments/updates from the CSSF, ALFI and ESMA etc on a weekly basis and flag any developments which require further attention
  • Responsible for ensuring that the Firm complies with all of the professional obligations with respect to AML/CTF
  • Responsible for Centralising all information concerning compliance matters (e.g. breach of a regulation, non-compliance with procedures, conflicts of interest), draft required communication (e.g.: to the CSSF, etc.)
  • Performing the KYC on the clients before entering onto business relationship.
Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work

Regulatory responsibilities
  1. Compliance with those aspects of the ESMA and MiFID II product governance and knowledge and competences requirements - including adherence to the FCA' Conduct Rules: You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and cooperative with the CSSF and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct
  6. You must act to deliver good outcomes for retail customers
  • Adhere to the requirements for Continuing Professional Development (CPD)
  • Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work
The FCA Consumer Duty sets the standard of care that (our client name) should give to customers. As part of delivering good outcomes for retail customers, you must:
  • Act in good faith towards retail customers
  • Avoid foreseeable harm to retail customers
  • Enable and support retail customers to pursue their financial objectives
Risk
  • Be aware of the risks to the firm, and to its clients, of your actions and responsibilities
  • Ensure that as these risks change, or new risks arise, these changes are clearly communicated throughout the firm as appropriate
  • Manage these risks appropriately including involving your line management as necessary

Experience

  • Knowledge on the European Funds Compliance Monitoring
  • Risk Assessment
  • Internal Audit skills
  • Project Management
  • Report Writing
  • Analytical skills (Regulatory interpretation)
  • Influencing skills
Industry awareness
  • A good understanding of the financial sector
Regulatory knowledge
  • The CSSF Circulars relevant to Investment Firms, with particularly detailed knowledge of Circular 20/758.
  • Anti Money Laundering regulations in Luxembourg Regulations and others as applicable.
  • Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role is expected
  • An understanding of the rules, regulations, policies and procedures as set out in the key (our client name) policies

APCT1_LU

  • Executive Search Consultant F/m

    il y a 2 jours

    Luxembourg Morgan Philips Executive Search Temps plein

    Morgan Philips Group is radically changing the headhunting, recruitment and talent consulting business with a range of modern, innovative service lines designed to help our clients to succeed in the new world of work. Created in 2013, we are a global talent solutions group with well-established offices in over 20 countries. We pride ourselves in having built...

  • Chief Executive/deputy Chief Executive

    il y a 6 jours

    Luxembourg Spring Professional Temps plein

    **Employment Type** - Full Time **Category** - Banking & Financial Services **External Reference** - A1H6M000007K0BKQAA **Client Description**: We currently recruit, for one of our clients, a key international banking institution, a **_Chief Executive/Deputy Chief Executive - KYC Officer. _** This is a temporary contract with a mission of up to 2...

  • Tax Compliance Officer

    Il y a 9 minutes

    Luxembourg beTax Advisory & Compliance Services Temps plein

    In order to further develop our activities and strengthen our team, we are currently looking for a “**Tax Compliance Officer**”. **Job description**: - Preparation/Review of corporate tax returns and withholding tax returns - Dealing with correspondence received from the tax authorities - Review and commenting of tax assessments - Liaising with...

  • Corporate Tax Compliance Officer

    Il y a 12 minutes

    Luxembourg beTax Advisory & Compliance Services Temps plein

    beTax Advisory & Compliance Services S.à r.l. is a fully independent Luxembourg-based tax boutique, providing corporate tax and VAT services, as well as LuxGAAP accounting services. As a member of the “Ordre des Experts-Comptables”, we have developed a very diversified client portfolio over the years, ranging from real estate and private equity funds...

  • Junior Tax/vat Compliance Officer

    il y a 1 semaine

    Luxembourg beTax Advisory & Compliance Services Temps plein

    beTax Advisory & Compliance Services S.à r.l. is a fully independent Luxembourg-based tax boutique, providing corporate tax and VAT services, as well as LuxGAAP accounting services. beTax Advisory & Compliance Services S.à r.l. is a member of the “Ordre des Experts-Comptables” and has developed a very diversified client portfolio during the last...

  • Executive Assistant

    il y a 5 jours

    Luxembourg ATOZ Services Temps plein

    **About us**: ATOZ is a high-end independent advisory firm offering a comprehensive and integrated range of tax and financial advisory services. We are a firm of seasoned partners and hand-picked professionals and. our team has in-depth experience in advising on and delivering solutions for sophisticated local and global players. Through TAXAND, ATOZ has...

  • Conducting Officer in charge of Compliance

    il y a 24 heures

    Luxembourg City One Group Solutions Sarl Temps plein

    ONE is certified Great Place to Work 2024 and has been awarded Best Workplace Luxembourg and Europe 2023. ONE group solutions provides next generation fund management solutions delivered by a hand-picked team of senior industry experts and supported by NextGen technology. We provide third-party Management Company, Corporate Secretary, Regulatory and...

  • Executive Assistant

    il y a 6 jours

    Luxembourg City Privilege Services Temps plein

    Privilege Services is renowned for its expertise in recruitment, offering a Premium quality, tailor-made service. We are recruiting the Executive Assistant to the CEO (m/f/d) in a full-time and permanent contract. Position Overview: The Executive Assistant to the CEO will serve as a key partner and trusted advisor, providing high-level administrative and...

  • Executive Assistant

    il y a 4 jours

    Luxembourg Brookfield Asset Management Temps plein

    Location Luxembourg - 26A Boulevard Royal Business - Real Estate Brookfield Real Estate Group is one of Brookfield’s primary operating groups. The Real Estate Group is one of the world's largest investors in real estate, with a global portfolio that includes office, retail, multifamily, logistics, hospitality and alternative real estate assets on five...

  • Executive/business Assistant

    il y a 1 semaine

    Luxembourg Runa Capital Temps plein

    **Responsibilities** - Act as the point of contact among the Executive, employees, and internal and external stakeholders. Be the face of the company to external partners, able to represent the Executive in a professional and positive way - Coordinate Executive’s calendar, meeting schedule, events, travel, etc. - Assist with on-site logistics for events...

  • (Senior) Executive Assistant

    il y a 6 jours

    Luxembourg European Investment Bank Temps plein

    The **EIB**, the European Union's bank, is seeking to recruit for its **Group Risk & Compliance Directorate (GR&C) - Office of the Group Chief Compliance Officer (OCCO) **at its headquarters in Luxembourg, a **(Senior) Executive Assistant.** **This is a full-time position at grade 2/3 for which the EIB offers a permanent contract.** **_ Panel interviews...

  • Finance Manager

    il y a 1 jour

    Luxembourg HOLT EXECUTIVE Temps plein

    Luxembourg - £60000 - £80000 per annum - Permanent - V-34358 **Finance Manager - (Luxembourg)** Are you ready to embark on an extraordinary journey in the space industry? Our client is pioneering cutting-edge innovations in satellite communication and space technologies. To support their growth, they are seeking a **Finance Manager** to join their...

  • Export Sales Executive

    il y a 1 semaine

    Luxembourg MD Skin Solutions Temps plein

    _MD Skin Solutions / Pluryal is a family-owned company based in Europe that has been designing, developing and marketing medical aesthetic products since 1999. Located in the Grand Duchy of Luxembourg, the very heart of Europe, Pluryal is today managed by 4 passionate brothers and sisters. The second generation of the same founding family._ -...

  • Compliance Officer

    il y a 24 heures

    Luxembourg City Spuerkeess Asset Management Temps plein

    Spuerkeess Asset Management est la société de gestion d'actifs du groupe Spuerkeess. Nous proposons des services de gestion collective et de gestion individuelle de portefeuilles d'investissement. Nos valeurs d'entreprise sont l'excellence, la confiance, la passion, le respect et l'ouverture. En vue de renforcer la fonction Compliance, nous recherchons...

  • Compliance Monitoring Analyst

    il y a 7 jours

    Luxembourg KR International Recruitment Temps plein

    KR Recruitment Luxembourg is delighted to be recruiting this Compliance role for a growing insurance group. Working at their centrally based office in Luxembourg of this highly regarded group, you will be able to assist the company in performing analyses which are critical to the business. This really is a unique opportunity to be part of an emerging...

  • Conducting Officer

    il y a 1 semaine

    Luxembourg Eurolux Consulting Temps plein

    **Job Description**: Are you an experienced compliance officer in an AIFM in Luxembourg, and looking to increase your responsibilities and learning curve by moving into a Conducting Officer role? If you thrive in a hands-on, dynamic environment, where you have sufficient knowledge and experience to be approved by the CSSF, but still recognize the value of...

  • Compliance Officer

    il y a 24 heures

    Luxembourg City Mitsubishi UFJ Investor Services Banking Luxembourg S.A. Temps plein

    Mitsubishi UFJ Investor Services and Banking (Luxembourg) S.A. (MIBL) is a Bank incorporated in Luxembourg and is fully owned by Mitsubishi UFJ Trust and Banking Corporation, member of the Mitsubishi UFJ Financial Group, one of the largest financial groups worldwide. MIBL provides a wide range of financial services to institutional investors including...

  • Compliance Officer

    il y a 3 jours

    Luxembourg Amazon EU SARL Temps plein

    Minimum of 5-8 years’ experience in insurance distribution compliance in Europe/UK. - Strong knowledge of the professional's exposure to the risk of money laundering and terrorist financing; - Strong knowledge of the Luxembourg legal and regulatory AML/CFT framework; - Demonstrable experience of influencing stakeholders with respect to issue...

  • Technicien Frigoriste

    il y a 1 semaine

    Luxembourg Icare Executive Search Temps plein

    ICARE Executive Search, recherche pour le compte de son client, un Technicien Frigoriste en CDI pour intervenir sur le Grand Duché du Luxembourg auprès d'une clientèle d'entreprises industrielles. Rattaché au Responsable d'Agence basé au Luxembourg, vous aurez pour missions principales: - Assurer la maintenance curative et préventive des équipements...

  • Senior Sales Executive

    Il y a 10 minutes

    Luxembourg AQMETRICS Temps plein

    **Are you an experienced Senior Sales Executive? Are you looking for a new challenge to grow an exciting SaaS company in a Sales Executive role? Then continue reading**.**: **Who We Are**: AQMetrics is a leading provider of regulatory risk software to global financial institutions. Our SaaS platform is award-winning, and our range of products make regulatory...