Assistant Vice President
il y a 2 jours
LFE European Asset Management is a joint venture between Brookfield Asset Management and Oaktree Capital Management and is a regulated entity supervised by the Luxembourg Commission de Surveillance du Secteur Financier (CSSF) to provide services as alternative fund manager across Europe. Our role is to provide independent governance and oversight to Oaktree and Brookfield’s Alternative Investment Funds (“AIF”), with rigorous risk controls, working in internal partnership with the group entities to support growth in Europe while adhering to the highest standards of integrity.
Scope and Responsibilities
Working closely with the Conducting Officer Compliance, the Compliance Officer and the group compliance teams including to assist with the maintenance of compliance and regulatory policies, procedures and processes and ensuring that employees have appropriate training, including:
- MNPI controls
- Conflicts management
- Information barriers
- Vendor management rules
- Gifts and entertainment program
Other duties include, but are not limited to:
- Responding to internal and external stakeholder inquiries regarding regulatory compliance matters
- Assist in the production of compliance reports on a monthly and quarterly basis
- Oversight and Support of the AML/CTF requirements and [AML analyst], including
- Assist the compliance team maintaining AML/CTF policies and keeping Compliance manual up to date
- Support on AML/CTF and Compliance reports submission. escalation reviews and screenings : provide data to providers and review reports
- the annual AML survey and Self-Assessment Questionnaires filled with the regulator
- fund level AML requirements - including taking role of RC for some proportion of funds under management
- Maintain regulatory reporting schedule and its implementation
- Oversee CMP and work with other LFE team on inputs and output to testing and selection
- Assess new products, asset/classes, and new deals
- Support in drafting risk assessments and reviewing risk appetite
- Maintain regulatory tracker
- Maintain regulatory interactions with Regulators
- Liaising with other LFE functions to include their interactions
- Interactions with branch regulators are logged
- Ensure regulatory and deliverables are timely managed
- Prepare and coordinate training
Experience required
- Academic degree in Finance, Audit or Law
- 5 - 8 years' of experience in Compliance or Internal Audit
- Good command of Microsoft Office tools (Word, Excel and Access)
- Interest on fund industry and its related regulations
- Good communication and interpersonal skills, ability to listen, provide and receive feedback
- Able to understand and interpret legislation and legal documentation
- CAMS, ICA is an advantage
Education
Bachelor’s Degree
Equal Opportunity Employment Policy
Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources.
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