Compliance Officer
il y a 3 semaines
A career at _Lombard Odier_ means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF_
- 300 billion and operating from over 25 offices across 4 continents._
- With a history spanning over 225 years, _Lombard Odier_ is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide_
- advanced banking technology to other financial institutions._
- “Rethink Everything” is our philosophy_ - it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients._
In order to reinforce our Compliance Team in the Luxembourg based Management Company, Lombard Odier Funds (Europe) S.A., we are looking for a Senior Compliance Officer - Investment Monitoring
About the role
You will join a global business of more than 200 investment professionals and a network of 13 offices across Europe, Asia and North America. You will report to the Conducting Officer responsible for Compliance in Luxembourg and be the central point of reference and expertise on Investment Controlling matters for funds and mandates managed by LOIM or by external Portfolio Managers.
In this role, your main responsibilities will include the following _inter alia_:
- Participate in funds’ launch discussions to appraise the investment strategy and discuss any impact on investment compliance.
- Review the prospectus and investment management agreements in order to ensure they are compliant with legal requirements and consistent with LOIM internal guidelines, and that investment rules can be implemented in the compliance tool Bloomberg AIM.
- Code investment rules in the compliance tool (pre
- and post-trade).
- Manage the relationship with external counterparties (external Portfolio Managers, depositaries) including understanding of the scope of investment rules and review of the accuracy of their controls.
- Identify, analyze and escalate non-compliance issues with investment rules in line with our internal Breach Policies.
- Escalate to portfolio managers and senior management any investment breach on a need-to-know basis.
- Follow-up on resolution and potential compensation of investment breach.
- Report investment breaches to regulators as requested (CSSF, AMF).
- Report to the Boards, committees and counterparties on investment monitoring.
- Maintain awareness of investment controlling regulatory developments, assess the impact and initiate necessary changes with relevant stakeholders.
- Maintain systems, databases and processes up-to-date.
- Provide training and advice to portfolio managers on investment restrictions and evolution of the regulations and ensure adherence to LOIM policies and procedures.
- Assess eligibility of complex products and strategies upon request.
- Conduct due diligence on external providers (Depositaries, Bloomberg).
- Participate to group-wide compliance projects.
- Be proactive on CSSF and auditors’ request on an ad hoc basis.
- Develop and maintain methods to enhance procedures with respect to the Investment Controlling function.
- Manage and lead one team member.
The skills you will demonstrate
- You hold a University degree (or equivalent) ideally in Economics, Finance or Law.
- You have at least 5 years of experience in investment restrictions monitoring. An experience in external audit would be an asset.
- You have a solid knowledge of the regulatory framework (UCITS, AIFMD, CESR/ESMA guidelines). Knowledge of the Swiss /French local regulatory framework will constitute an advantage.
- You are proficient in written and spoken English and/or French.
- You have excellent skills with MS Office and Bloomberg.
- You have analytical, organizational, writing and synthesis skills.
- You have the ability to work autonomously but also as part of a team.
Why join us
Our Maison’s DNA is defined by five core values. Excellence drives us to be the best at what we do, while Innovation fuels our progress. Respect underpins every interaction, and Integrity shapes our actions. Together, we are One Team, united in serving our clients with unwavering dedication.
LOIM is an equal opportunity employer
We are committed to creating a diverse and inclusive work environment, where talented people inspire the organization with a diversity of thought, background, experience and identity to reinforce our innovation and deliver excellence. We firmly believe this is how we will continue to thrive. To deliver on this, we have actively embedded Diversity & Inclusion in our business strategy.
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