Oversight Manager

il y a 2 jours


Luxembourg Axis Temps plein

The principle objective of the position is to ensure that all investor and agent records on the transfer agency and paying agent register are compliant with all anti-money laundering policies and procedures;Drafting procedures and processes; ensuring that procedures, processes and system are updated...
**Description**
- The principle objective of the position is to ensure that all investor and agent records on the transfer agency and paying agent register are compliant with all anti-money laundering policies and procedures;
- Drafting procedures and processes; ensuring that procedures, processes and system are updated according to new policies and regulations, governance and recertification with the transfer agent and distributors;
- Ensure compliance with Luxembourg know your customer and anti-money laundering regulations when assessing investor and agent documentation;
- Ensure timely and accurate responses to all account opening requests together with the provision of regular reporting;
- Engage and support investors and clients on transfer agent and distribution related matters;
- Monitoring daily the transfer agent activity including annual ongoing due diligence exercise;
- Work closely with internal Compliance and RC, when reviewing complex account opening requests and seek appropriate solutions;
- Identify and escalate risk issues in accordance with internal policies;
- Support and service distributors interactions with the transfer agent and prepare special reporting, if needed;
- Initiate and lead system change projects and participate in the operational reviews and readiness phases;
- Lead and manage the negotiation of contracts and SLAs associated with the transfer agent activity;
- Engage in all audit reviews whether internal or external preparation of audit packs and be comfortable responding to auditor's questions;
- Ensure timely and accurate transfer agent reporting to investors, distributors, CSSF; and monitoring the content of these reports;
- Prepare monthly reporting to the senior management and quarterly reporting the board of directors;
- Provide marketing and sales support including managing online profile, mailings and dissemination to investors, distributors, etc.

**Profile**
- Bachelor's Degree or higher;
- Minimum 6-10 years' work experience in similar position;
- Excellent overall knowledge of the Luxembourg fund industry and distribution;
- Very good understanding of local anti-money laundering laws rules and regulations in particular circulars and laws issued by the CSSF as relates to AML/CFT e.g. CSSF Regulation 12-02 AML Law of 12 November 2004, 4th and 5th AML Directive, etc.;
- Relevant internal audit, compliance, anti-money laundering and data privacy experience or other related experience e.g. legal, risk management, audit etc.;
- Project management skills and client facing skills would be considered a distinct advantage;
- Strong MS Excel and MS Word skills;
- Proven knowledge of regulatory requirements and an ability to translate them into operational/process requirements;
- Proven ability to engage with clients, senior management and third party vendors;
- A self-starter with a strong sense of ownership and responsibility;
- Excellent partnership and team management skills, with ability to work closely with various teams, business and other functional stakeholders;
- Organized proactive and communicative with an ability to take initiative and assume responsibility;
- Ability to work independently;
- Open-minded and capable of building productive working relationships.

**Offer**

Our client offers a permanent contract.



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