Luxembourg City, Luxembourg

Senior Compliance Officer

Full-time / part-time
Full-time
Level
Mid-Senior Level
Department
Compliance & Risk
Address
412F Route d'Esch
Luxembourg City
Luxembourg

Job description

The overall goal of the Compliance function is to support the successful execution of Zimmer & Partners business strategy through the delivery of an integrated risk and compliance culture and programme; while protecting Zimmer & Partners’ brand and reputation. Compliance aims to support the Board of Directors and Senior Management to fulfil their statutory and regulatory obligations, by helping to ensure compliance with the laws, regulations, principles and codes established by the regulator. 

The private wealth management world has changed. Increasing globalisation has led to increasing cross-border family and investment complexity but our clients still want the same simple thing – peace of mind.

As Senior Compliance Officer, you will be the appointed RC (Responsible for Control of AML/CTF obligations), and report to the deputy Managing Director (appointed as RR), with a functional line to Luxembourg IQ EQ Head of Risk & Compliance.

Your role and responsibilities will consist of:

  • Emphasizing and strengthening the 1st line of defense culture in day-to-day activities
  • Supporting the first line of defense with the onboarding of new clients, conducting due diligence checks, performing clients name screening, preparing the compliance opinion and client risk assessment
  • Management of the Client Acceptance Committee and preparing the minutes
  • Maintaining up-to-date the CDDS KYC tool
  • Preparing and filing of SAR/STR
  • Performing periodical client file reviews as 2nd line of defense
  • Providing ongoing advice to staff on compliance related matters
  • Building, maintaining and executing the annual compliance monitoring programme, risk assessment
  • Taking an active lead and execution role in the client file review project
  • Receiving, investigating and answering queries from internal and external parties in a timely manner
  • Performing the regulatory watch related to Compliance matters in association with IQ-EQ Group
  • Maintaining documented policies and procedures in association with IQ-EQ Group
  • Participating in the training programme for new joiners and advanced training to existing staff in association with IQ-EQ Group
  • Preparing Risk and AML/CTF reporting in liaison with IQ-EQ Group
  • Coordinating the preparation of external AML/CTF audit

Together we find solutions and make things happen but to do this we want you to contribute; looking for ways to help us get better at what we do in the most efficient and effective way. You’ll need to be highly flexible, so that you can support your team and the wider group.

Your long-term career goals are important to us too. We want to make sure we’re providing the support and opportunities you need to achieve your dreams so we can build a successful future, together. You’ll need to be thorough in all you do, using your own judgment to highlight any significant finds and put forward any recommendations to help us find an appropriate solution.

Qualifications

  • Master/Bachelor in Law, Economics or Finance or in a similar field
  • Minimum 5 years professional experience in a Compliance related function in Luxembourg, preferably in a Chartered Accountant Firm
  • Good knowledge of Luxembourg legal and AML - KYC
  • Knowledge of CDDS KYC tool is a plus
  • Good knowledge and experience of Luxembourg holding structures and related regulatory and administrative services including non-regulated securitization
  • Corporate Governance experience and an understanding and experience of risk mitigation
  • Effective influencing skills
  • Excellent written and verbal communication skills
  • Highly effective listening skills and able to make and communicate rational judgments in a decisive manner
  • Fluent in French and English

Additional information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Company description

Zimmer and Partners S.A. is part of the IQ-EQ Group. IQ EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

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