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Job Description
As a Senior Compliance Officer, you will play a pivotal role in ensuring that the Alternative Investment Fund Manager (AIFM) operates in full compliance with applicable laws, regulations, and internal policies. Reporting to the Head of Compliance / Conducting Officer, you will support the Compliance Department in fulfilling its day-to-day obligations while overseeing delegated and outsourced activities, including offshoring centers, to guarantee adherence to regulatory standards and robust governance frameworks.
You will:
- Perform regular review of due diligence work performed on AIFM clients and counterparties (initial and ongoing) by the Offshoring center of the Group
- Perform oversight on 1st level of controls on WorldCheck name screening and monitoring against targeted financial sanctions lists
- Maintain and update compliance policies and procedures in line with regulatory changes.
- Draft procedures and guidelines for the implementation of the Compliance policies
- Support the completion of the Compliance Monitoring Programme (e.g. perform sample testing on investments, Risk management process, Investors’ files, etc.)
- Maintain Compliance registers and logs (e.g. CSSF communications, PEP or conflicts of interests)
- Escalate significant deficiencies and issues to Management
- Ensure all tasks performed are properly documented and formalised
- Prepare compliance reports for senior management and regulatory authorities.
- Advise internal stakeholders on regulatory developments and compliance obligations.
- Perform due diligence and ongoing monitoring of offshoring centers and other service providers
- Training & Awareness: Deliver compliance training to staff and promote a strong compliance culture.
What we offer
- Comprehensive remuneration and pension: motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
- Wellbeing: additional social benefits
- Flexible working: we recognise the value of working flexibly and want to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements.
Qualifications
- Master/Bachelor in Law, Economics or an equivalent degree
- Minimum 3 years of professional experience, preferably in an AIFM compliance-related function or in a consultancy or audit firm
- Good knowledge of the Luxembourg regulatory environment for investment funds & firms (incl. 18/698 circular) as well as relevant European regulation (such as AIFMD and AML directives)
- Very good command of Microsoft Office packages including Excel, Word, PowerPoint
Additional information
Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to oury people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, acrosfyts 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
Company description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We’re driven by our Group purpose, to power people and possibilities.
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