About our Client
Our client is a Management Company having its registered office in Luxembourg. They are managing UCITS, UCI and AIF. We are looking for a Compliance Officer.
Within the Compliance Officer role, under the Compliance department you will be responsible to ensure the protection and the preservation of the legal integrity and reputation of by delivering a compliance assistance to all departments, anticipating and assessing risk situations, solving internal compliance issues and following industry rules and regulations. Be the backup of the Chief Compliance Officer in connection with all compliance tasks and in particular:
- Assist upon request the Directors and Heads of department on compliance matters (analyse the issue, conduct research and edit opinions, articles or other documents related)
- Assist, from a Compliance point of view, the Head of Legal during the preparation, drafting, negotiation and review of all legal contracts and documents for the ManCo and its clients
- Anticipate and beware of compliance risks threatening the ManCo and keep updated on new laws and regulations which could impact its business
- Maintain/up-date compliance monitoring plan of the ManCo as appropriate and carry out the related regular compliance checks and controls
- As part of regulatory watch duties perform detailed reviews of specific regulatory issues to establish the impact on internal systems and procedures and the up-date the appropriate log
- Perform AML/KYC reviews. Assess client risk prior to account opening and conduct ongoing monitoring of business partner (name screening included) and relevant counterparties of the ManCo. Perform regular ex-ante and ongoing Due Diligence on distributors, delegated portfolio managers and fund administrations;
- Give advice and support to staff on compliance related matters, such as ManCo governance aspects, AML/CTF, MIFID, FATCA/CRS, QI, Data Protection etc…
- Ensure the record keeping and management information system, including the record keeping of correspondences with regulators
- Participate and lead (where required) specific working groups or projects implementing new regulation and liaise with external advisors as appropriate;
- Support the department in the absence of other team members.
- Provide standard and ad-hoc information and data reports to regulators, Board, auditors and Group
- Master’s degree or Bachelor's degree in a technical discipline
- 2-4 years of experience in a Management Company in the same role.
- Good knowledge of the regulatory framework (UCITS, AIFMD, CESR/ESMA guidelines) and willingness to expand
- Experience with office package and in particular Excel, Word and Power Point
- English or French are required. Italian is a must.
- be Smooth and flexible, curios and keen to learn.