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Description
Role Summary
The role is to act as a Senior Compliance Officer, for Apex Group’s Fund Administration business in Luxembourg. The role holder will work closely with the local Head of Compliance in Luxembourg and the wider Compliance team.
Key Responsibilities
Compliance:
- Supporting an effective Compliance Monitoring Program
- Assisting with the creation, implementation and roll-out of applicable Compliance and Financial Crime Compliance policies and procedures, including the Compliance Manual
- Be client-focused and assist where possible to support and enhance client relations
- Assisting with the preparation of reports to Authorised Management and the Board as required
- Promoting a culture of Compliance across the business
- Providing an escalation point for disclosures, breaches and unusual activity
- Monitoring compliance with legislation and local requirements
- Ensuring there are adequate processes in place for monitoring and testing the effectiveness of systems and controls
- Completing appropriate training and helping to design staff training and awareness
- Undertaking a gap analysis, when necessary, of new or revised internal policies or requirements
- Receiving and investigating internal reports of unusual activity or suspected money laundering or terrorist financing.
Other Responsibilities
- Effectively supporting Financial Crime Compliance and the wider Compliance function
- Working with Group and wider Compliance stakeholders on local and global Compliance matters
- Logging all Compliance-related issues as appropriate and finding solutions where required
- Positive engagement with Risk, Legal, IT, Internal Audit and business departments to ensure local and Group issues are being effectively dealt with and progressed through to completion
Values and Behaviours
- Vision and Initiative
- Strategic Thinking and Innovation
- Transformational Change
- Influencing and Engaging Others
- High Quality Client Focus
- Risk aware decision-making
Skills and Experience
- Enough experience and skills which may include, holding an appropriate AML, Compliance or other professional qualification
- a sound knowledge of all relevant Compliance and Financial Crime Compliance (AML) standards as applicable in Luxembourg and the EU
- a sound knowledge of the CSSF and the European Banking Authority (EBA) guidance on Compliance
- and AML/CTF-related matters
- awareness of Compliance staff obligations and those of the relevant persons under the rulebooks mentioned above; and
- Highly developed communication skills with the ability to engage and build relationships at all levels, both internally and externally
