Senior Agent in Fund Legal & Compliance department
Published on 10/05/2024
SMBC Nikko Bank
Working time
Type of contract
Educational level
About the job
Senior Agent in Fund Legal & Compliance department
Your tasks
Assist the head of Fund Legal department and Compliance Officer in the following duties in the IFM with AIFM and Chapter 16 Management Company license in Luxembourg managing Luxembourg and non EU funds mainly distributed in non EU countries:
- Monitoring of AML & Compliance KPIs from delegates;
- Organizing the quarterly and ad-hoc board meetings, scheduling the annual plan for the board meetings;
- Reviewing and amending policies and procedures;
- Keeping the different Logs up to date (e.g. Policies and Procedures Log; Regulatory Watch Log; Periodic reporting Log, Correspondence with the Authorities Log, etc.);
- Planning, organising and delivering compliance training;
- Collaborating with other departments or group entities to investigate and solve Compliance issues;
- Implementing effective compliance program, designing and executing all compliance controls and related periodical compliance risk assessment;
- Performing of all duties related to the fight against money laundering and terrorist financing (AML);
- Monitoring the applicable regulatory evolution and performing the regulatory watch related to Compliance matters;
- Preparing periodic reporting;
- Communicating with Internal and external auditors to ensure smooth audit process;
- Preparing fund audit engagement/representation letters and certificates of compliance, follow-up with auditors, trustees and administrator, and attendance to audit conference calls;
- Assisting the team in onboarding investment funds (Subscription agreement - FATCA/CRS documentation), preparing of fund legal documentation (offering documents; agreements with counterparties; W8 form, etc.), liaising with other departments or counterparties during the entire onboarding process.
- Preparing and filling of documents at RCS and CSSF;
- Reviewing agreements with local providers (e.g. office related supplies, rental agreement updates, etc.);
- Archiving all relevant legal and corporate documents and liaising with the team to provide final executed documents so that books and records are always up to date.
Your profile
- Bachelor degree in law, Business Administration, Finance or Economics,
- Organisation and rigor are strong assets that you have already demonstrated
- You are fluent in French and English (oral and writing)
- You have strong Office pack skills.
- 3-5 years’ experience in similar position or in fund audit is required would be an asset
