LexGo

Head of Compliance (Approved Conducting officer)
06/03/2020

Region: Luxembourg (country)
Function: Compliance
Environnement: Company
Legal subjects: Financial regulatory
Job Type: Full time
Contract Type: Temporary contract
Your ref.: NVL072

Greenfield is looking for a Head of Compliance (Approved Conducting officer) to join an independent asset manager.

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Greenfield is pleased to be working with an independent asset manager, with a small AIFM in Luxembourg, on their search for their Head of Compliance (Approved Conducting Officer). They are looking for a person who is willing to fight for robust compliance procedures with hands-on experience, dealing with the regulator, writing Compliance policies and the AML/KYC process on making investments.

• Implement policies, processes and systems for the operation of the Firm in compliance with CSSF rules (Handbook of policies and procedures, Compliance Policy, Compliance Charter and Code of Conduct, investigations…)

• Conduct monitoring and oversight of monitoring in accordance with the Company’s monitoring plan

• Conduct, oversee and approve Customer Due Diligence

• Liaise with the AML teams of the AIFs’ Administrators with regard to the onboarding of investors

• Conduct AML/CFT risk assessments, fund distribution and marketing monitoring

• Maintain the Company’s regulatory records, including (CSSF correspondence and reporting, compliance projects, various AML records, rule breaches, complaints log…)

• Provide the Board of the Firm with regulatory updates and update staff on regulatory changes

• Maintain a compliance training calendar and train staff

• Quarterly Compliance / AML/CFT Reports to the Firm’s Board

In order to fulfill the role, the candidate will have to demonstrate or have the following:

• University degree in either law, finance, accounting or economics

• Compliance related work at an AIFM (at least 5 years of experience in Luxembourg).

• Fluent in written and spoken English,

• Very good understanding of the processes in an AIFM.

• Sound knowledge of the regulatory framework applicable for fund management companies in Luxembourg and European Investment Firms.

• High level of integrity.
 

Interested?

If you are interested in this position, or would like to discuss other roles that we are currently recruiting for, please forward your CV in English to Nadine Van Laar (nadine@greenfield.lu)

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