Compliance Specialist
il y a 1 semaine
Role summary
A key member of the European compliance team, this compliance multifaceted specialist role ensures the smooth compliance and supervision of our distribution, sales and marketing activities, across Europe and Asia. In-depth knowledge of financial services is required with proven experience of the European and Global investment management regulatory environment.
There are two main areas of responsibilities:
- The administration of our Luxembourg Funds is core to our business across Europe and Asia. Capital Group Luxembourg Funds are registered in a number of countries and distributed worldwide ex-US. The Compliance Specialist is responsible, under the oversight and instruction of the associate leading the Fund Registration function and other senior members of the European Legal and Compliance department, for the registration and maintenance of the Luxembourg Funds outside the US in compliance with local laws and regulations.- Responsible for ensuring compliance of fund and client promotional activities (marketing campaign, digital, social media, roadshow) with MiFID, UCITS/AIFMD and the FCA handbook, tracking requests, reviewing materials and providing feedback. Assist in creating, reviewing, and implementing compliance guidance for marketing activities in Europe and Asia.
Primary responsibilities/essential functions
Capital Group Luxembourg funds registration:
- Processes new registration of Funds and Share Classes including active, decision-making contribution to Funds related projects at European and Asian level;- Ongoing maintenance of fund registrations outside of the US, including the preparation and provision of necessary documentation (i.e., prospectus update), publications and interaction, directly or indirectly, with local counsel, external service providers and relevant authorities;- Assesses regulatory impact of cross-border fund registration on the Luxembourg Funds features (i.e. ESG, Use of derivatives, investment guidelines, )- Identifies regulatory changes that may impact the Funds;- Researches, analyses and communicates on the requirements pertaining to the promotion of funds in various jurisdictions in support of business objectives and marketing activities;- Oversees and manages outside service providers from a service quality and cost point of view (i.e., invoices, fees estimation and coordination with internal stakeholders);- Prepares regular reporting of the fund registration status.
Distribution, sales and marketing advisory & compliance- Responsible for the compliance review of fund and client promotional / marketing materials. Keeping track of incoming requests, providing feedback in relation to FCA / MiFID / UCITS / AIFMD rules and identifying the wider benefit of the feedback provided.- Assist in the creation, review and implementation of new compliance guidance for all marketing team activity (both in Europe and Asia); encompassing a broad remit which includes events and inducements.- Assisting in the regulatory watch of all of the above matters.- Provide training to local associates on the above matters, where relevant.- Assists management with identifying issues and initiating potential solutions.
Skills/qualifications- In-depth knowledge of financial services required with proven experience of the European and Global investment management regulatory environment.- A curious and enquiring mindset, with the ability to analyse, assess and make judgements on regulations.- Happy to challenge the status quo.- Brings energy and enthusiasm to the environment.- Strong commitment to quality, accuracy and attention to detail.- Effective written and oral communications skills with team members and managers.- Instills trust and has the ability to maintain a high level of confidentiality and integrity.- Ability to utilize technology to enhance and automate, refine, and streamline processes.
Core requirements:
- University degree, of which a Compliance degree or other relevant certification is a plus;- 3-4+ years of relevant compliance, risk or audit experience in the financial industry (asset management, mutual funds or banking), or within a consultancy and/or audit firm;- Previous experience in oversight of financial promotion and/or cross-border compliance (UCITS/AIF, MiFID, FCA handbook) is a plus;- Able to speak, draft and work in English; second language a preference.
- In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings._
- You can learn more about our compensation and benefits _
- here_
- ._
- _Temporary positions in Canada and the United States_ are excluded from the above mentioned compensation and benefit plans._
-
Compliance Specialist
il y a 2 jours
Luxembourg Ebury Temps pleinEbury is a hyper-growth FinTech firm, named in 2021 as one of the top 15 European Fintechs to work for by AltFi. We offer a range of products including FX risk management, trade finance, currency accounts, international payments and API integration. **Compliance Specialist - Ebury Luxembourg** **Office based 4 days per week, 1 day per week working from...
-
Associate Compliance Specialist
il y a 2 semaines
Luxembourg Cryptopay Temps pleinWe are seeking an **Associate** **Compliance Specialist** to join our Compliance Team. Your responsibilities will be: - Manage and investigate all incoming complaints, log all customer communications and record all outcomes and decisions - Development of compliance policies and procedures - Assistance of compliance team with a day to day activities, such as...
-
Regulatory Compliance Specialist
il y a 5 jours
Luxembourg, Luxembourg beBeeCompliance Temps pleinAbout this role:We are seeking a specialist with expertise in regulatory compliance to join our team. The ideal candidate will have a strong understanding of financial regulations and experience in providing advisory support to operational business areas within a banking environment.The role involves identifying, controlling, assessing and reporting...
-
Legal & Compliance Specialist
il y a 2 semaines
Luxembourg Capital Group Companies Temps pleinCapital 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...
-
Product Compliance Specialist
il y a 1 semaine
Luxembourg Satispay Temps plein**Product Compliance Specialist** **About Satispay** Satispay was born to revolutionise everyday payments - making them simple, fair, and accessible to everyone. Now, the focus has moved even further, aiming to shape the future of money. We're a movement empowering millions of people, driven by a shared purpose to tackle big challenges. And we're just...
-
Compliance Specialist
il y a 2 semaines
Luxembourg ArcelorMittal Temps pleinArcelorMittal is the world’s largest steel and mining company. We use the most innovative technology to create the steels tomorrow’s world will be made of. Every day over 190,000 of our talented people, located in over 60 countries, push the boundaries of digitalization and use advanced technology to create a world that is stronger, faster and smarter....
-
Compliance Specialist
il y a 6 jours
Luxembourg Saxton Leigh Temps plein**About this role**: **Location**: Luxembourg **Specialism**: Compliance **Salary**: € Competitive salary **Type**: Contract **Reference**: 18655 - Login to bookmark this job
-
Senior Manager
il y a 1 semaine
Luxembourg Eurolux Consulting Temps plein**Job Description**: Are you a highly experienced regulatory compliance specialist, with a true expertise in regulatory issues affecting private banking? We have an senior leadership role, for someone to work independently and autonomously in a stable business, addressing critical regulatory issues in a proactive and commercially orientated way. You will...
-
Regulatory Compliance Intern
il y a 1 semaine
Luxembourg Arendt & Medernach Temps pleinArendt Regulatory & Consulting S.A., an affiliate of Arendt & Medernach, the n°1 law firm in Luxembourg, is a specialist advisory company active in the areas of risk, compliance, governance, business and regulatory changes. It offers regulatory advice and assistance to a wide range of clients from the banking, insurance as well as the fund, asset management...
-
Risk & Compliance Support Officer
il y a 2 semaines
Luxembourg Arendt & Medernach Temps pleinArendt & Medernach is the leading independent business law firm in Luxembourg. The firm’s international team of more than 400 legal professionals represents Luxembourg and foreign clients in all areas of Luxembourg business law from its main office in Luxembourg and representative offices in Hong Kong, London, New York and Paris. Our service to clients is...