Compliance/Risk Officer - Luxembourg

We currently have an outstanding opportunity for an experienced Compliance professional to join the satellite office in Luxembourg of this highly regarded Asset Manager. The ideal candidate will have gained exposure to the principles and policies mentioned in Circular 12/552.

Roles & Responsibilities

  • To assume the role of Compliance / Risk Officer and act in accordance with the guiding principles and policies mentioned in Circular 12/552

  • To ensure the firm complies with the various CSSF regulations applicable to a PFS Investment Firm such as Circular 12/552

  • To act as the main point of contact with the CSSF

  • To identify, mitigate, monitor and report on risks to the business

  • To review and approve International financial promotions and ensure that the cross border obligations are respected in the countries where investors are targeted

  • To manage the process of UCITS Fund Registrations

  • Implementation of the AML/CTF policy and procedures such as the performance of the desktop-based KYC and due diligence of potential investors and sub-distributors

  • Responsible for managing the External Audit

  • Responsible for managing the Internal Auditors

  • Responsible for advising the Board of Directors and the Conducting Officers on the applicable laws, regulations, rules and standards and keep them informed of all developments in these areas through the preparation of Compliance Reports that are included in the Board Pack and attending the quarterly Board Meetings

Experience & Qualifications

  • Educated to degree level ideally in financial based degree

  • Minimum of 3-5 years of experience within an asset management working in a compliance role

  • Good regulatory knowledge of the CSSF as well as other regulators

  • Experience of Compliance Monitoring reviews

  • Motivated self-starter with strong attention to detail

  • An analytical mindset with good time management skills

To hear more about this challenging opportunity, please contact Alex Brown on 020 7847 8878 or mailto:alex@meredithbrown.com

Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.

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