Compliance Officer
il y a 3 semaines
HI Partners has an exciting opportunity for you to join a reputable service provider firm as Compliance Officer & RC (“Responsable du Contrôle ») Support.
**Key responsibilities**:
- Assess the AML risk exposure of the AIFM, the funds managed, and their counterparts.
- Draft AML/CFT Policy and Risk Assessment of the Fund.
- Be in charge of the compliance advisory on the following topics: applicable rules and regulations, the resolution of Compliance-related queries, oversight of AML process and risk assessment, day to day Compliance support for the operation teams.
- Serve as the designated RC (Responsable du Contrôle) for the AIFs and Institutional Clients, overseeing anti-money laundering (AML) activities in Funds, conducting due diligence controls on AIFM, Portfolio Manager, and other service providers, and implementing identification verification controls on investors. Collect relevant Key Performance Indicators (KPIs), generate routine reports, including RC Reports, and manage regulatory reporting and requests on behalf of the Funds. Attend Funds board meetings and conduct oneself with professionalism in the role of RC.
- Contribute to the coordination and execution of new and/or revised group or jurisdictional compliance and reporting standards, incorporating relevant regulations beyond Luxembourg.
- Monitor and report on Compliance issues to the management in line and potentially to Funds Board esp. in line with Compliance with relevant investment restrictions and pricing policies, where appropriate.
- Provide help, guidance and direction to other employees in relation to AIFM AML related queries.
- Remain informed and up to date on regulatory developments affecting the business and contribute to assessing their impact.
- Conducting reviews of transactions and risk ratings of funds, as well as monitoring transactions approved by the AIFM in accordance with the established policies.
- Provide Anti-Money Laundering and Countering the Financing of Terrorism training to the relevant stakeholders.
- Support responses to consultations and suggest necessary changes to policies, procedures and processes.
- Perform second line of defence reviews of transactions and funds risk ratings and monitor the transactions approved by the AIFM in accordance with the policies.
- Participate in the onboarding process for Funds' investors and conduct AML/KYC assessments. Additionally, attend acceptance meetings for new investors with high-risk profiles.
- Oversee the due diligence process over delegates of the AIFM, support the oversight of delegated AML processes and risk assessment by analysing KPIs and data provided.
- Provide assistance for internal and external audits, as well as internal audit points related to Anti-Money Laundering (AML).
- Oversight of the AML/KYC Onboarding team, encompassing responsibilities such as conducting client due diligence, daily screening, and performing annual reviews.
**Requirements**:
- University degree in in Economics, Finance, Law or Risk Management,
- Minimum of 4-5 years of experience within Compliance, Risk or Audit area,
- Extensive knowledge of regulations that are applicable to management companies in Luxembourg, including but not limited to governance, anti-money laundering (AML), investor protection, rules of conduct, know your customer (KYC), and delegation oversight.
- Excellent analytical skills, highly detail oriented, thorough, with excellent organizational and communication skills, the ability and eagerness to learn quickly,
- Excellent communication, organisational and timekeeping skills,
- Proactive with a client service orientated attitude,
- Strong relationship management skills,
- A self‐starter, can-do attitude, willing to take ownership in processes/projects. Ability to work in a very dynamic environment,
- Fluent in English, both spoken and written - other languages would be an advantage.
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