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Capital International Management Company (CIMC) is seeking to recruit a Legal and Compliance Specialist to support its European Legal and Compliance Department in Luxembourg. The main responsibilities and required profile are described below.
**Responsibilities**:
The Compliance Specialist is responsible, under the supervision of her/his reporting manager and other senior members of the European Legal and Compliance department, for researching, collecting and reviewing documents for a variety of regulatory filings, contracts, board materials, etc., assisting with regulatory supervisory activities and audits as well as contributing to the team’s support of distribution and client activities. Drafts and reviews compliance policies, processes, controls and procedures and assist internal departments to enhance and improve these controls.
A detailed description of the tasks is provided further below.
Required Profile
- University degree, of which a Compliance degree or other relevant certification is a plus
- Minimum 3-4 years of relevant compliance experience in the financial industry (asset management, mutual funds or banking), or within a consultancy and/or audit firm
- Demonstrates knowledge of regulatory compliance standards (EU) and Luxembourg funds legal and regulatory framework
- Imperatively fluent in English
- Self-directed with the ability to work both collaboratively and independently to consistently meet quality and time deadlines Demonstrates meticulous attention to detail
- Strong organization and analytical skills and able to prioritize different tasks
- Demonstrates initiative by identifying issues and recommending solutions
- Demonstrates effective written and oral communications skills with a diverse group of associates and senior business leaders
Detailed description of tasks
The Legal and Compliance Specialist will have the following main responsibilities, in consultation with her/his reporting manager and other members of the European Legal and Compliance team:
- Supports CIMC’s and the Luxembourg Funds’ on-going corporate compliance framework
- Researches and prepares responses to surveys and regulatory reporting
- Supports compliance of CIMC’s branch offices in Spain, Italy, Germany and the Netherlands
- Performs testing as per CIMC’s Compliance Monitoring Program
- Drafts and amends internally generated documents and external agreements/correspondence for compliance and business purposes for manager/attorney review, especially internal policies and procedures
- Works with internal departments to support compliance with policies and regulations, and, where appropriate, educates and gives guidance to business areas on compliance processes
- Supports client and distribution related activities (maintenance and negotiation of agreements, support of client-facing teams, implementation of relevant policies and processes
- Maintains on-going AML/ KYC processes and reporting, and, in particular works with client-facing team on onboarding of new clients and ongoing AML/KYC refresh activities;
- Supports needs of clients, auditors, and regulators by assisting internal business departments with responses to queries or troubleshooting issues
- Assists Managers and Sr. Managers with identifying issues and initiating potential solutions
- Provides support and interacts with Luxembourg, London and Geneva based members of the Legal and Compliance Europe department
- Performs additional responsibilities and projects as assigned
THIS PRIVACY NOTICE ONLY APPLIES WHERE THE GENERAL DATA PROTECTION REGULATION (GDPR) AND RELATED EUROPEAN DATA PROTECTION LAWS GOVERN HOW THE CAPITAL GROUP PROCESSES OR HANDLES YOUR PERSONAL DATA. THESE LAWS APPLY WHENEVER A CAPITAL GROUP COMPANY IS LOCATED IN EUROPE, OR PROCESSES PERSONAL DATA OF PERSONS WHO ARE LOCATED IN EUROPE.
If this Notice applies, please read it carefully because it explains how we use your personal data. If this Notice does not apply, or you have any questions or concerns about how we process your personal data, please contact us using the details provided in clause M.
PERSONAL DATA COLLECTED
Capital Group (CG) considers the privacy of your personal data important. Personal data is information provided which enables an individual to be identified directly or indirectly by reference to the information or data to be obtained or held.
We collect different data at different stages of the recruitment process. The data we collect can include, but is not limited to, the following:- Demographic data. Your date of birth and gender.- Family data. Information about relatives who work for CG.- Right to work data. Your right to work in the country you will be employed.- Academic and professional experiences and qualifications. Education, CV/Resume, certifications and licenses, and language skills.- Regulatory body data. Approved person status by the UK FCA, license or authorization to conduct investment business, disciplinary action by a regulator.
