Compliance Officer, Private Wealth

Compliance Officer, Private Wealth

**KEY PURPOSE**:
Working with the firm's New Yorkbased Private Wealth SecondariesSolutions (PWSS)Global Compliance Officer, PWSS regional management and others, you will develop strong working relationships with all key stakeholders, supporting the delivery of best-in-class regulatory compliance arrangements for the Coller Capital group's Private Wealth Secondaries Solutions (PWSS) business on a regional and global basis. While dedicated to PWSS matters, you will functionally be part of the group-wide Legal & Compliance department.

**KEY TASKS AND RESPONSIBILITIES**:
Your role will have a broad remit.

You will be responsible for developing, implementing and operating compliance programs and other internal control arrangements covering the design, governance, marketing and distribution of PWSS products, on a regional basis, meeting the requirements and expectations of all applicable regulators.

You will further be responsible, together with other members of the global Legal & Compliance function, for ensuring that the group's various investment management and advisory entities used for PWSS activities and products continue to comply with all applicable laws and regulations.

In fulfilling these responsibilities, you will be required (among other things) to:

- Assist with onboarding and ongoing reviews of investors and service providers;
- Contribute to the overall implementation and operation of the group's global compliance policies/procedures and monitoring/testing plans (as applicable to the PWSS business), ensuring that review procedures are risk-based, proportionate and effective;
- Render expert regulatory advice to members of the PWSS team and other Coller Capital group professionals operating in the EMEA region;
- Produce high-quality compliance reports and updates for the PWSS Global Compliance Officer, PWSS regional management and the governing bodies of relevant group companies;
- Monitor developments in applicable EMEA laws and regulations, assess the potential impact on the group's PWSS business and make recommendations for appropriate changes; and serve as a point of contact for governmental and regulatory agencies in relation to PWSS activities and products in the EMEA region.

**QUALIFICATIONS AND EXPERIENCE**:
**Essential**
- Strong degree in a relevant field from a recognised university or business school
- 5-7 years of relevant experience within an investment adviser/manager, another financial institution or a relevant service provider, with a focus on private wealth products and their marketing/distribution in multiple markets
- Familiarity with regional laws and regulations applicable to the PWSS business and products (e.g. AIFMD in the EEA/UK).
- Familiarity with private equity transactions and fund lifecycles

**Desirable**
- Track record as a compliance professional within another reputable investment adviser/manager or other financial institution
- Familiarity with different fund structures and regimes applicable to private wealth products/investors
- Prior experience of managing licensing, registration or similar requirements in multiple jurisdictions (e.g. Luxembourg/EEA, Switzerland, UK
- Experience working within a fund-of-funds environment or with private equity/credit funds
- Experience dealing with transfer agents, custodians, fund administrators, depositaries, and other third-party service providers
- Experience with company secretarial work
- Law degree/qualification or accounting qualification

**COMPETENCIES**(key behaviours and aptitudes)**:

- Strong interpersonal skills; ability to create, develop, and maintain effective business relationships with internal and external stakeholders
- Positive attitude, placing value on and contributing to a collaborative and supportive team culture in a growing, fast-paced environment
- Ability to take responsibility for significant areas of work and deliver results with low levels of supervision, showing an accountable and proactive approach and excellent attention to detail
- Ability to assimilate and adapt quickly to new circumstances, requirements and concepts
- Ability to problem solve and bring solutions to influence decision-making
- Ability to identify efficiencies and work collaboratively to drive change

Coller Capital is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We consider qualified applicants without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. We are dedicated to complying with all applicable laws of the respective jurisdiction in which we operate.

Department Operations Locations Luxembourg

Job ID 1Q1GuTovbPIC