Compliance Manager
Il y a 2 mois
Posted- 21-Nov-2023- Service line- Advisory Segment- Role type- Full-time- Areas of Interest- Legal- Location(s)- Luxembourg - Luxembourg - Luxembourg- The Senior Compliance Manager is responsible for implementing, administering and controlling the proper functioning of demonstrable second line Compliance processes sitting under the Company’s Compliance framework.The Senior Compliance Manager plays a fundamental role in enabling the Compliance Function to develop and maintain:
- effective and efficient second line controls,
- robust internal and external reporting capabilities, and
- updating and creating procedures, manuals and guidelines as necessary.
The Senior Manager reports to the Company’s Compliance Director and is fully integrated into the Compliance Function. The Senior Compliance Manager creates and maintains working relationships with other functions across the Company on a local and global scale, especially for the purpose of ensuring that the Compliance Function is fully connected to the Company’s data, processes, projects and overall organization.Main responsibilities:
Governance:
- Develops and implements policies, manuals and procedures on a local level, ensures high quality while mitigating risks to clients, their investors and the Company itself as a regulated specialized Professional of the Financial Sector supervised by the CSSF.
- Effectively supports the business and responsible local in managing compliance risks, as well as any related issues and incidents.
- Support the Deputy MLRO in their role, preparing investigations, reports.
- Acting as effective back up of the Compliance Director.
- Deputy of the Compliance Director for Committee Membership (Luxembourg Business Acceptance Committee).
Teamwork:
- Influence and motivate the Luxembourg business, ensuring required levels of competence are achieved and built upon.
- Fulfil tasks of company secretary where necessary and required.
- Assist the Daily Management with reporting of Compliance incidents and remediations actions (including following up).
Major challenges:
- Raise Compliance Culture across the organization.
- Support the compliance function in implementing the annual compliance plan.
- Provide lead compliance management input on all compliance matters.
- Strengthen the role of Compliance in the second line of Defence.
- Monitor first line implementation of compliance standards.
- Develop and maintain relevant Compliance registers, logs and communication channels.
- Identify and suggest any potential improvement in the first line and second line of defence working methods by researching current practice and development projects.
- Ensure a robust control environment is created, managed to maintain an on-going adherence to compliance with regulatory standards.
- Assist the Compliance Director in the mandatory regulatory reporting.
- Perform other related Compliance duties as assigned or requested by his /her direct superior.
Role context- The nature of the role requires close working contact with all business areas and not limited to other key functions.
- The jobholder has to possess good knowledge on fund investments, banking regulations and operations, control concepts and governance principles in order to develop a set of effective standard guidelines that can be implemented.
- The Compliance function has significantly increased over recent years and has the potential to be an influential value-added service available to senior management.
- Jobholder’s ability in identifying major Compliance risks areas and weaknesses poses significant impact on business in meeting their strategic objectives.
What are we looking for?- University degree in the area of Finance, Law, Business Administration or similar. At least 5-7 years of experience in the Luxembourg financial sector.
- Solid knowledge of the regulatory environment gained in a bank, asset manager, consulting or law firm.
- Have in depth knowledge of Luxembourg AML and CTF rules, CSSF circulars and EU Directives.
- Proficient working level of English, French and/or German is an advantage.
- Organized, detail oriented, autonomous.
- Ability to work well under pressure with proactive approach to routine and non-routine occurrences.
- Ability to effectively present information.
- Proven ability to communicate effectively, both orally and in writing and interact effectively with management, employees, and auditors.
- Extensive responsibility dealing with day-to-day issues as well as planning and executing projects/ initiatives.
- Strong analytical and problem-solving skills.
- Excellent verbal and written communication skills, and adept at communicating with all levels of the business and technical stakeholders of the organization.
- Understanding of operational risks and related controls, audit and internal control frameworks
- Well organized with strong administrative skills, team spirit, flexible and self-motivated.
- Demonstrable experience of working accurat
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