Head of Regulatory Compliance

Head of Regulatory Compliance
Région: Luxembourg
Expérience nécessaire: 8 ans
Secteur d'activité: Entreprise
Contrat: Durée indéterminée (Temps plein)

Description de la société

EFG International is a global private banking group offering private banking and asset management services and is headquartered in Zurich. Its registered shares (EFGN) are listed on the SIX Swiss Exchange. As a leading Swiss private bank, EFG International has a presence in major financial centres and growth markets, operating in around 40 locations worldwide, with a network spanning Europe, Asia Pacific, the Americas and the Middle East.

As one of the best-capitalised Swiss private banks, EFG International is a financial partner that offers the security and solidity needed to provide clients with effective support. An entrepreneurial spirit has shaped the bank since its inception, enabling it to develop hands-on solutions and to build long-lasting client relationships.  

In other words: Entrepreneurial thinking. Private banking.


As Head of Regulatory your main responsibilities are:

  • Management of the Regulatory sub-unit.
  • Identification, assessment and control of the regulatory risk.
  • Implementation of General Directives and new legislation.
  • Compliance with all relevant laws, regulations, rules and professional standards.
  • On-boarding and review of Business Introducers & Independent Asset Managers relations.
  • Monitoring of cross-border rules.
  • Provide advisory, training and control services.
  • Implementation of the Compliance monitoring plan.
  • Implementation of tax related initiatives and regulations.
  • Review and approval of internal procedures.
  • Compliance analysis and review of new businesses/activities prior implementation.
  • Issuance of written reports on findings, including issuing and follow-up of recommendations as well as assessment of the findings and propositions of corrective measures.
  • Oversight on Branches & Subsidiaries.


Skills and experience

  • University Degree in Law, Economics or Finance.
  • High level of understanding of the Luxembourg banking sector, of applicable norms and legislation.
  • Good track record of people management.
  • Experience of minimum 8 -10 years in the Luxembourg financial sector.
  • Expertise in European financial Regulations (especially MiFID and MAR)
  • Excellent English oral and written communication skills. Ability to speak a second European language (preferably French or Italian) will be an advantage.
  • Ability to efficiently communicate with stakeholders and internal clients.
  • Autonomy and accuracy.
  • Capability of analyzing complex issues.
  • Flexibility and stress resistance.
  • Confidentiality and diplomacy.

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