Conducting Officer Compliance
il y a 4 jours
**Conducting Officer - Compliance & AML**
Location: Luxembourg
Department: AIFM Services
Vacancy type: Permanent, Full-time
This is a great opportunity to join a fast-growing AIFM and contribute actively to its development and evolution. The Conducting Officer - Compliance & AML will report to the Board of Managers and the Head of AIFM.
As Conducting Officer - Compliance & AML you will be responsible for a wide range of activities. Your responsibilities will include but will not be limited to:
- Keep up-to-date with regulatory developments in the industry, provide analysis to the Conducting Officer Committee, Board of Managers and CSC Group Compliance, on new regulatory developments impacting the company
- Lead the AIFM in complying with the obligations under the AIFM regulations, guidelines, circulars and laws
- Identify and assess the compliance risk of the AIFM including AML/CFT risk as well as applicable laws and regulations
- Conduct analysis and implementation of all relevant legal and regulatory changes for AIFMs
- Ensure compliance of the existing policies and procedures
- Strengthen the internal control system
- Setup and execute compliance checks according to the compliance monitoring plan
- Conduct and assess result from the on-site monitoring and testing on designated controls defined within the Compliance Monitoring Plan
- Draft/review policies and procedures to ensure they are up-to-date
- Responsible for compliance (incl. complaint handling) and AML reports to the Conducting Officers Committee and to the Board of Managers
- Responsible for compliance and AML reports to the CSC Group Compliance
- Advise and monitor follow-up on specific compliance matters jointly with the Conduction Officer in charge of Legal
- Ensure good corporate governance (reporting, conducting officers’ meetings, board meetings)
- Undertake Client Due Diligence and ongoing reviews in compliance with the anti-money laundering requirements
- Standardize existing processes, maintain procedures up-to-date, develop and implement procedures when necessary
- Perform and execute the AML/CTF procedure performing AML/KYC checks on new clients i.e. initiators, investors, delegates and assets
- Support the identification, mitigation and management of AML related risks; reporting and escalation of such risks as needed
- Support preparation of AML trainings and the maintenance of the training register Process regular screening and maintenance of the client database against blacklists, international sanctions, press and escalate when relevant
- Consult projects with compliance and regulatory expertise
- Ensure awareness of staff on compliance matters
- Ensure the regulatory compliance of the funds setup
- Undertake Compliance projects and ad hoc additional tasks as assigned by the Board of Managers and CSC Group Compliance
- Correspond with regulatory bodies (CSSF, BaFin, FMA, auditors, etc.) and maintenance of related files
- Prepare external and internal audit and/or other periodic and/or ad hoc regulatory visits
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