COMPLIANCE OFFICER (M/F)
Published on 20/12/2024
DO Recruitment Advisors
- Luxembourg-Ville
- Investment funds
- Legal
- Between 70k and 80k € / year
COMPLIANCE OFFICER (M/F)
DO Recruitment is delighted to assist this prestigious asset manager in the recruitment of a Compliance Officer who will report to the Compliance Manager based in Luxembourg. This role will primarily focus on Compliance matters in Luxembourg and UK.
RESPONSABILITIES:
-Ensure the ongoing compliance of company's Lux funds and its investment funds, informing,
-Conducting Officers of regulatory changes and their potential impacts, assist in drafting monthly,
-Luxembourg Grids for the Regulatory Impacts Forum,
-Draft monthly compliance reports company's Luxembourg's Conducting Officers and
quarterly compliance reports for the Boards of company's Luxembourg and its funds,
-Investigate, oversee, and report on any compliance breaches,
-Perform monthly portfolio holdings analysis and review eligible markets,
-Oversee complaints handling,
-Assist in drafting the annual Compliance Report to the CSSF,
-Conduct compliance monitoring activities,
-Prepare compliance reports and follow up on outstanding action points and recommendations,
-Submit monthly management information reports,
-Contribute to the oversight of third-party service providers (administration, distribution,
investment management, transfer agency),
-Assist with NAV error reporting, breach notifications, and complaint resolutions,
-Monitor regulatory changes, correspondence, and deadlines,
-Handle depositary reporting and day-to-day depositary-related issues,
-Provide general support to the Conducting Officers,
-Perform compliance monitoring tests and investigations,
-Collaborate with other company's teams (Legal, Fund Operations, Investment Operations,
Product),
-Work closely with the Compliance teams in other jurisdictions.
PROFILE:
-Minimum 3+ years' financial services experience, preferably in asset management,
-Strong command of English, both written and verbal,
-Excellent communication and stakeholder management skills,
-Self-motivated with ability to work independently,
-Attention to detail and strong organizational skills,
-Willingness to travel on a quarterly basis,
-The ability to build and maintain meaningful relationships,
-A client focused and collaborative approach,
-Ambition, balanced with decency and humanity,
-High conviction and be comfortable sharing opinions,
-Ability to analyse, interpret and assimilate information.
CLIENT:
Our client is an international asset management company, based in the city center.
At the final stages of the recruitment process, the successful candidate can be asked to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check might also be requested.
