Compliance Analyst – Management Company

JCW Resourcing UK

Compliance Analyst – Management Company


  Luxembourg, Luxembourg
Posted
2 weeks ago
Duration
Permanent/Fixed Term
Salary
50,000€
Sector
Compliance & Financial Crime

Apply Now

My client, a third party Manco providing end-to-end governance, advisory and oversight solutions to investment and asset management firms, is currently looking for a compliance analyst to work in close collaboration with the Conducting Officer in charge of Compliance.

RESPONSIBILITIES:

  • Monitor compliance of the Management Company/AIFMs with the relevant rules, regulations and CSSF circulars (e.g. 18/698) and assess the appropriateness of internal policies, procedures and guidelines, make recommendations for amendments and perform regular and comprehensive compliance related risks assessments and testing,
  • Be the appropriate internal control function and recommend corrective measures, ensure a follow-up of identified deficiencies/issues, supervise their implementation and ensure that corrective measures have proven to be efficient,
  • Fulfil notification requirements with the CSSF on compliance matters and exercise any specific responsibilities such as reporting suspicious transactions related to money laundering and the fight against terrorism financing,
  • Maintain and update compliance policies, procedures, compliance monitoring plan, AML policies etc.
  • Assist in the preparation of the board reports specifically covering the compliance and MLRO part for both the Manco and the funds under supervision
  • Support the Conducting officer in charge of Compliance/AML and prevent terrorism financing, which will include:

– AML Due Diligence oversight monitoring on delegates (TA, distributors, Portfolio managers) including onsite visits, specific testing, regulatory monitoring etc.
– Perform necessary AML checks on new delegates and new clients

  • Provide compliance and MLRO related updates to the Management Committee and Board of Director meetings for both the Manco. and funds under supervision,
  • Provide effective guidance as the Compliance officer and MLRO to the broader team
  • Ensure smooth relationship with supervisory authority and auditors,
  • Formalize and strengthen the company’s procedures to constantly improve operational effectiveness,
  • Advise the team on developments on laws, regulation, rules and standards which might have an impact on the company

REQUIREMENTS:

  • Minimum 3-5 years’ experience as a Compliance Officer, preferably within a Management Company.
  • Strong understanding of the regulatory landscape related to asset managers and private equity funds (UCITS and AIFMD regulations, CSSF circulars, AML directives, FATCA/CRS etc.).
  • Direct experience dealing with the CSSF, Fund Admins, transfer agents,
  • Excel, Word and PowerPoint  
  • The ability and desire to create a strong compliance culture
  • Fluency in English, French, and any additional European language will be an advantage

We aim to be an equal opportunity recruiter and we are determined to ensure that no applicant receives less favourable treatment on the grounds of gender, age, disability, religion, belief, sexual orientation, marital status, or race, or is disadvantaged by conditions or requirements.

Apply Now

Contact

Lucie-Valentine Picard

Email Lucie-Valentine
33 (0)1 87 65 19 36
 

Share job

  

Similar Jobs

Not found what you're looking for?