Luxembourg Compliance Officer
il y a 2 semaines
On November 1, 2021, the sale of Wells Fargo Asset Management (WFAM) from Wells Fargo & Company to GTCR LLC and Reverence Capital Partners, L.P. was completed. This transaction launches Allspring Global Investments as an independent asset management firm. Wells Fargo Asset Management Luxembourg S.A. was renamed Allspring Global Investments Luxembourg S.A. (“Allspring Luxembourg”) and Wells Fargo (Lux) Worldwide Fund was renamed Allspring (Lux) Worldwide Fund. Further Worldwide Alternative Fund SICAV-SIF was renamed Allspring Worldwide Alternative SICAV SIF.
Allspring Luxembourg was approved by the Luxembourg Commission de Surveillance du Secteur Financier (the “CSSF”) as a chapter 15 management company pursuant to the law of 17 December 2010 relating to undertakings for collective investment, as amended and was accordingly appointed as of 29 January 2015 as the management company of the Allspring (Lux) Worldwide Fund and as global distributor of the Allspring Worldwide Alternative Fund SICAV-SIF Additionally, Allspring Luxembourg received in 2018 approval to provide discretionary portfolio management services and investment advice services. Allspring Luxembourg has branches in Paris, Frankfurt and Milan.
**Position**
The role reports to and support the Luxembourg Country Chief Compliance Officer who is responsible for the provision of Compliance services in support of all Allspring Global Investments activities, including its branches in Frankfurt, Paris and Milan.
The Luxembourg Country Chief Compliance Officer reports to the EMEA Head of Asset Management Compliance, based in London, who is responsible for all aspects of compliance within EMEA located Allspring Global Investments entities.
The EMEA Compliance function encompasses all business activity of Allspring Global Investments entities in EMEA, including the portfolio management and distribution activities.
**Responsibilities**:
- **Responsibilities**:
- Identify the existing rules and the upcoming regulations in Luxembourg, France, Germany & Italy which may impact the Allspring Luxembourg business.
- Keep updated on directives, laws, regulations and circulars governing the conduct of business activities of the management company and investment funds.
- Fight against anti-money laundering and the financing of terrorism, as well as the rules of conduct of the financial sector and investor protection rules.
- Develop programs and monitor results to ensure the continued legal and regulatory compliance of Allspring Luxembourg in Luxembourg and its European Branches.
- Provide advice on regulatory and legal matters on any compliance issues that may arise including AML/CFT and/or data privacy matters, conduct compliance monitoring and reporting in line with Group Compliance standards.
- Verify that the organizational duties relating to Compliance are complied with including outsourced and / or delegated regulated activities.
- Oversee Allspring Luxembourg’s delegation framework.
- Oversee, advice and monitor the branches of Allspring Luxembourg.
- Collaborate with the Oversight teams to provide oversight of third parties.
- Draft and implement Compliance related policies/procedures.
- Assess the adequacy and effectiveness of Allspring Luxembourg’s measures, policies, and procedures put in place to prevent compliance failures.
- Maintain/up-date compliance monitoring plan of Allspring Luxembourg and its Branches as appropriate and carry out the related regular compliance checks and controls.
- Give advice and support to staff on compliance related matters.
- Evaluate risks linked to the implementation of new systems, products, or re-organization of legal entities and processes.
- Ensure the legal and regulatory compliance of the funds setup, identify potential risk areas, and monitor compliance.
- Perform client due diligence reviews including onsite visits.
- Conduct ongoing monitoring of clients and relevant counterparties of Allspring Luxembourg and its Branches.
- Fully cooperate with and respond to inquiries from internal and external auditors.
- Develop a robust Compliance culture.
- Oversee the review and approval of distribution activities, arrangements, agreements and due diligence questionnaires.
- Liaise with the Allspring EMEA Distribution team.
- Retain locally stored compliance records and related documentation.
- Participate in specific working groups or projects implementing new regulation and liaise with internal stakeholders and external advisors as appropriate.
- Prepare Senior Management and Board Reporting.
- Liaising with Allspring Compliance in UK and USA.
- Support the Luxembourg Country Chief Compliance Officer and EMEA Head of Asset Management Compliance in any other matters required to meet Compliance and organizational objectives and priorities.
**Required Qualifications**:
- Graduate degree in law or business.
- Prior experience of working in Luxembourg, ideally as a Compliance Officer in an international f
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