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AIFM Compliance, Senior Officer
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Company Description
We're a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$850 billion. We work with 13 of the world's top-15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We're driven by our Group purpose, to power people and possibilities.
Job Description
As a Senior Compliance Officer, you will take on a key role in safeguarding the integrity of our AIFM's operations. You will ensure our activities consistently meet regulatory expectations while helping drive a strong culture of ethics and good governance across the organisation.
Working closely with the Head of Compliance / Conducting Officer, you will take ownership of critical compliance processes, oversee delegated and outsourced functions (including global offshoring centres), and act as a trusted advisor to internal stakeholders on regulatory matters. This is an exciting opportunity to join a dynamic and growing compliance function where your expertise will truly make a difference.
Your mission:
In this role, you will contribute to the full compliance lifecycle and have a broad scope of responsibilities, including:
Compliance Monitoring & Reporting
- Support the execution of the annual Compliance Monitoring Programme (e.g., sample testing on investments, risk management processes, investor files).
- Identify, escalate, and help remediate significant issues or deficiencies.
- Prepare Compliance reports for senior management, the Conducting Officers, and regulatory authorities.
Monitoring, Due Diligence & Oversight
- Review due diligence performed on AIFM clients and counterparties (initial and ongoing) by the Group's offshoring center.
- Oversee 1st level controls, including WorldCheck name screening and monitoring against targeted financial sanctions lists.
- Conduct due diligence and ongoing monitoring of offshoring centers and other service providers.
Governance & Policies, Procedures
- Maintain, enhance, and update compliance policies and procedures in line with evolving regulatory expectations.
- Draft internal guidelines to support the practical implementation of Compliance policies.
- Maintain key Compliance registers (CSSF communications, PEP lists, conflicts of interest, etc.) and ensure proper documentation of all activities.
Advisory, Training & Culture
- Advise internal teams on regulatory developments and their compliance obligations.
- Deliver compliance training and raise awareness across the business to foster a strong and sustainable compliance culture.
What we offer
- Comprehensive remuneration and pension: motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
- Wellbeing: additional social benefits
- Flexible working: we recognise the value of working flexibly and want to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements.
Qualifications
- Master/Bachelor in Law, Economics or an equivalent degree
- Minimum 3 years of professional experience, preferably in an AIFM compliance-related function or in a consultancy or audit firm
- Good knowledge of the Luxembourg regulatory environment for investment funds & firms (incl. 18/698 circular) as well as relevant European regulation (such as AIFMD and AML directives)
- Very good command of Microsoft Office packages including Excel, Word, PowerPoint
Additional Information
Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to oury people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We're committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees' careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, acrosfyts 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We're committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We're emotionally invested in our clients right from the beginning.
