Junior Compliance Officer

Junior Compliance Officer
Région: Luxembourg
Expérience nécessaire: Aucune
Secteur d'activité: Entreprise
Contrat: Déterminée (Temps plein)

Description de la société

GAM is one of the world’s leading independent asset managers. We provide differentiated active investment solutions and products for institutions, financial intermediaries and private investors.

Together we share a common set of values rooted in teamwork, integrity, entrepreneurial flair and professional excellence.  

Our employees are our most valuable asset. Being able to offer an attractive work environment where talented minds from various backgrounds are keen to work is key to the long-term success of our company. We firmly believe in the importance of maintaining the open culture of a small company, aiming to avoid bureaucracy and encouraging a flexible, accessible and hands-on working style across the Group. In turn, our people reward us with their loyalty.


Junior Compliance Officer - Fixed Term Contract

Main duties & responsibilities

Support the Senior AML Compliance Officer in the following tasks :

  • Carry out the AML assessment of any new product as part of the product approval
  • Carry out the AML assessment on delegates, working with GAM Outsourcing Controlling stakeholders
  • Carry out the AML assessment of marketing countries
  • Perform the Sanctions monitoring
  • Carry out the AML-CFT controls on assets
  • Carry out the AML & KYC on Private Clients
  • Ensure that AML/CTF related queries and respective related ad-hoc projects are dealt with and provide technical assistance to staff where required
  • Monitor timely updating and review of AML-CFT policies and procedures taking into account the AML- CFT Regulatory update
  • Prepare and ensure that all necessary internal and external AML reports and filings are completed correctly and in a timely manner, including CSSF filing, review of LFR, AML Questionnaire

Support the Senior Compliance Officer in the following tasks:

  • Carry out the compliance monitoring program controls for GAM Luxembourg,
  • Maintain all conduct and compliance registers for GAM Luxembourg (Complaints, CoI, Compliance Training, Conduct, etc)
  • Monitor timely updating and review of policies and procedures
  • Carry out the Compliance assessments on delegates
  • Ensure that compliance related queries and respective ad-hoc projects from various sources are dealt with and provide technical assistance to staff where required
  • Prepare and ensure that all necessary internal and external compliance reports and filings are completed correctly and in a timely manner, including CSSF error and breaches filing, fraud questionnaire
  • Assist in marketing oversight and assessments as well as marketing documentation reviews
  • Completion of ad-hoc projects and dealing with a wide range of queries from various sources

Personal attributes

  • Ability to work in partnership with teams and departments across locations to achieve common goals
  • Analytical mind-set, a focus on execution and a structured approach with attention to detail
  • Team player, collaborator and can demonstrate a track record of positive stakeholder engagement
  • Adapt quickly to change, cope with a fast-paced environment and willing to go the extra mile
  • Strong integrity and work ethics
  • Strong listening, communicating and influencing skills
  • MS Office proficiency

Benefits

GAM offers a comprehensive range of benefits and performance-based compensation, along with a variety of lifestyle and family benefits to promote well-being in and out of the workplace. These benefits vary according to local market conditions. Please contact the local Human Resources team for further details.

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