Regulatory Compliance Team Leader – Officer

Regulatory Compliance Team Leader – Officer
Region: Luxembourg
Required experience: 3 years
Environment: Company
Contract: Permanent position (Full-time)

Company description

State Street has been providing exceptional service to Luxembourg's investment community since we first opened the doors to State Street Bank Luxembourg in 1990. Initially established to meet the needs of North American clients with funds in Luxembourg, we now also have a large number of European and Asian clients. During the past decade, State Street Bank Luxembourg has emerged as one of the leading third-party service providers in Luxembourg. We are currently servicing more than 900 funds, worth in excess of $285 billion, and publishing over 36,000 NAVs monthly. Our team of over 500 people is well positioned to help clients succeed in an increasingly competitive marketplace. We specialize in serving the unique needs of sophisticated investors, everything we devel…

Main purpose of role:

As the Regulatory Compliance Team Leader, you will be responsible for a small team monitoring and analyzing European and Luxembourg regulation impacting IFDSL which is a  specialized PSF providing primarily Transfer Agency services.  

The role requires you to:

  • Monitor the regulatory landscape Luxembourg and Europe in order to ensure the relevant Compliance risks and requirements are captured and actively communicated to the relevant teams across the company.
  • Assist Head of Compliance with ensuring culture and behaviours are aligned to achieving regulatory and risk excellence.


  • Actively follow regulatory developments and pipeline, and provide the Head of Compliance, team members, IFDSL management and staff with updates and analysis of impact on Transfer Agency;
  • Manage the maintenance of the regulatory compliance inventory with relevant regulations and laws issued at EU and Luxembourg level;
  • Perform and/or review regulatory gap analyses including documenting the impact on the Transfer Agency business;
  • Ensure IFDSL policies are updated, reviewed, approved and published
  • Respond  to management, staff and client relationship queries in relation to regulatory matters;
  • Ensure all compliance registers are maintained and reviewed annually;
  • Represent Compliance in governance forums, project steering groups and client meetings;
  • Review and update regulatory training materials
  • Help to oversee and development of staff
  • Represent IFDSL in regulatory forums and on industry working groups;


  • Degree in law, finance or business discipline
  • Compliance qualification/certification in general compliance and/or AML
  • 3-5 years experience in a compliance regulatory analysis role in financial services and preferably Transfer Agency
  • Language skills – English, French


Knowledge and competency requirements

Specific knowledge, skills and qualifications to achieve required performance standards in an AVP role.


  • Demonstrate and models the operational principles PACE & L: Professional, Accountable, Client Focused, Excellence & Leadership
  • Excellent communication (written and verbal) and influencing skills
  • Ability to prioritize competing requirements  
  • Excellent working knowledge of MS Office suite including Word, Excel and PowerPoint
  • Excellent planning and co-ordination skills.
  • Ability to work under tight deadlines
  • Proactive
  • Ability to work independently and as part of the Team
  • A strong understanding of of Funds Industry and preferably Transfer Agency
  • Accurate and precise
  • Experience leading and mentoring a tea,
  • Flexible
  • Self-reliant
  • Enthusiastic & motivated

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