Senior Compliance Officer

Senior Compliance Officer
Region: Luxembourg
Required experience: 5 years
Environment: Company
Contract: Permanent position (Full-time)

Company description

Seeing change as an opportunity and always exceeding the expectations of our clients – that is our motto. We have been rooted in Liechtenstein for over 65 years and operate in five other international locations. This gives us the necessary foundation and the right size to surprise with innovations and always take the lead as a pioneer.

Would you describe yourself as an enthusiastic, results-oriented person with an entrepreneurial mindset? Then you'll feel right at home here. We offer a comprehensive range of fund-related services. With our system-based, pragmatic, hands-on approach, we help independent wealth managers and family offices to achieve success by making their work easier.

Your Challenge

  • Contributing in the implementation of the compliance monitoring plan,
  • Maintaining relevant policies and procedures, conducting risk assessments and participating in the drafting of various compliance reports,
  • Supervising AML control activities carried out by the Transfer Agent Department, in particular by reviewing investors' files and doing sample checks (all risk ratings),
  • Being actively involved in reviewing the results from the screening tools (PEP, sanction lists and transaction monitoring),
  • Carrying out a set of quality controls, both of the activities of the Transfer Agent Department and those of other departments involved in relationship-opening procedures,
  • Performing the initial and ongoing due diligence assessment and ongoing monitoring on the delegates
  • Supporting the CCO with the statutory audit, providing data to internal and external audit as required,
  • Provide advice to authorized management and other departments of the firm, namely the transfer agency department, on AML/CFT and FATCA/CRS matters and act as escalation point in this regard
  • Prepare the firm's and investment funds' FATCA/CRS Reporting to local authorities
  • Taking over the RC (“responsable du contrôle du respect des obligations”) function for several investment schemes under management and prepare the regular reports and documents required.

Your Profile

  • Ideally you have successfully completed a degree in Business Law, Business Administration or Economics,
  • A minimum of 5 years professional experience in the Luxembourg investment fund industry within a Management Company/AIFM, investment firm or a Big Four, in - AML/CFT and Financial Crime Compliance,
  • Good knowledge of the Luxembourg fund industry and understanding of the practical aspects of the compliance function,
  • You are a motivated person with a reliable and resilient personality,
  • You provide a service-oriented mindset and a diplomatic approach,
  • You have proactive problem solving skills with the ability to develop solutions independently,
  • Very good PC skills (MS Office),
  • You have fluent communication skills in English and German, French would be an advantage.

In the event of an Employment we will ask you to present a criminal record.

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