Risk and Compliance Officer

Job Description

Responsibilities (how we will measure success)

The overall goal of the Compliance function is to support the successful execution of IQ-EQ`s business strategy through the delivery of an integrated risk and compliance culture and programme; while protecting IQ-EQ`s 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. 

Tasks (what does the role do on a day-to-day basis)

You will provide support to the attainment of the overall objectives of the Risk and Compliance Function. As such you will be part of the Luxembourg Risk & Compliance Team and you will assist the Team in conducting compliance monitoring and/or risk reviews in accordance with the Compliance Monitoring Programme.

Assist the Luxembourg AML/CFT Financial Crime Team in its day-to-day activity.

  • Performing client screening tool “World-Check” control as primary analysis/review
  • Assistance to the secretary of the client Acceptance Continuation and Exit Committee (ACE); including but not limited to:
    • scheduling and invitations, preparation of the agenda and minutes;
    • communicating AC’s decisions to Client Directors and other stakeholders;
    • system input of approvals, risk level, action points, etc.;
    • Organisation of signature of documents via Docusign after ACE
    • Drafting Minutes
    • follow-up of ACE decisions;
  • Activation of client relationships upon acceptance and receipt of all mandatory documents.
  • Follow-up of correct encodage in our systems by the first line of defence
  • Follow-up of changes in the files for ensuring of the good order of the files
  • Performing “4-eyes” control and approval of client KYC documentation in our system
  • Providing support to first line of defence for the input of KYC documentation in our system
  • Providing support to the Compliance team for administrative matters
  • Preparation of AML letter for Compliance
  • SERR update (Management of status of companies etc..)

Providing Support to Regulatory Compliance Manager in its day-to-day activity.

  • Maintenance of the Intranet Compliance Section:
  • Maintenance of the follow-up table of available documentation in intranet under compliance responsibility;
  • Upload new documentation in intranet compliance section.
  • Follow up training R&C and GRC
    • Sending reminders for overdue trainings (Group or local trainings))
    • Collect training certificates (external trainings)

Providing Support to the Senior Risk Manager in its day-to-day activity.

  • Provide support to the Senior Risk Manager by
    • Maintaining, developing Risk Management policies and procedures in coordination with Group
    • Performing some controls as part of the Compliance Monitoring Programme
    • Maintaining and developing Risk Management awareness programme

Other administrative tasks

  • Drafting powerpoint presentation (trainings – BoD presentation)
  • Register input of data (gift, conflict of interest, CSSF correspondence…)
  • Uploading documentation on platforms (audit) after validation of the documentation in Luxembourg

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.

Key competencies for position and level (see Group Competency model)

Being rigorous and curious.

Using your own judgement, bring to the attention of Luxembourg Team any issues which you feel appropriate, in particular ensuring that concerns and identified risks are reported in a timely and effective manner.


  • A degree from reputable university, preferably in the field of finance or financial services or directly related to compliance functions with sufficient work experience to compensate.
  • At least 3 years’ experience in the financial services sector and preference given to experience in Risk Management and Compliance.
  • Knowledge of MS Office
  • Fluent in French and English; any additional language would be considered an asset

Additional information

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

  • Problem-solving
  • Pro-active
  • ‘Hands-on’ and pragmatic
  • Completer finisher
  • Integrity and transparency
  • Energy and determination
  • Resilient – can work in a fast-paced environment
  • Self-awareness with understanding of emotional intelligence
  • Strong organisation and analytical skills
  • Excellent communication and influencing skills
  • Ability to deliver on time every time
  • Well organised and structured

Company description

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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