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

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.