Senior Regulatory Compliance

Oversee licensing requirements and regulatory obligations (including reporting, applying for new business products, etc.) for primarily the Fund Services licensed entities and individuals in the Maitland operating entities in Luxembourg;Ensure the effective implementation of the Compliance...

Description

  • Oversee licensing requirements and regulatory obligations (including reporting, applying for new business products, etc.) for primarily the Fund Services licensed entities and individuals in the Maitland operating entities in Luxembourg;
  • Ensure the effective implementation of the Compliance Monitoring programme and undertake all aspects of monitoring activities;
  • Track non-compliant findings with respective business unit managers until resolved;
  • Monitor compliance by the operating entities with applicable regulations (AIFMD, FATCA, CRS, DAC6, etc.) and the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls;
  • Actively manage the mitigation of compliance breaches;
  • Support the local Data Protection Officer in the mitigation of data protection risks and breaches, and assume the role of Data Specialist;
  • Assist in promoting a culture of compliance and risk awareness, and prepare and deliver training material in compliance with regulatory obligations and business procedures;
  • Prepare compliance reports to management and various committees and governance structures within the group;
  • Prepare reports to regulatory authorities;
  • Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company, provide support to address and manage such forthcoming EU and local regulations through diagnostics, gap analysis & impact studies in order to advise the relevant stakeholders on their implications;
  • Provide advice to the relevant stakeholders on the regulatory implications of new business areas and new products;
  • Maintain appropriate written policies and procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures in order to demonstrate to the CSSF that the business seeks to adequately manage its compliance risks;
  • Undertake projects such as those projects addressing new regulatory initiatives and the review of existing policies; - Monitor suspicious transactions and provide reporting and escalations as required;
  • Identify potential sanctions;
  • Consider the political exposure of potential clients and act appropriately;
  • Contribute to the oversight of the administration, distribution, investment management and transfer agency delegates.

Your profile

  • Strong working knowledge of the Luxembourg Funds Industry regulatory framework;
  • Discreet and confidential manner;
  • Confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of a positive compliance and risk management culture;
  • Be well organised, with the ability to work autonomously and deal with a busy workload;
  • Be prepared to get heavily involved in the running of the regulatory compliance function, investigate complex structures and consider appropriate AML/KYC requirements and risk categorizations;
  • Fluent in English. French and/or any other European language would be an advantage;
  • Well organized with the ability to work autonomously and deal with busy workload; and
  • Self-motivated, mature and able to use initiative.
  • Master Degree level qualification, or equivalent, ideally in Law or Compliance and Risk Management;
  • At least 4 years’ relevant work experience in the Funds Industry, preferably within a compliance, audit or legal environment; and
  • Some exposure to corporate regulatory matters.

Offer

Our client is offering a permanent contract and attractive package

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