Compliance Officer recruitment

The Opportunity

My client is a global Investment Company (management and distribution of Investment Funds) part of a big and international financial institution operating in more than 50 Countries.
In order to reinforce the Legal Compliance Department in Luxembourg I'm recruiting a Compliance Officer.

The Responsibilities

*Ensure compliance of the Company with its obligations as a UCITS Management Company in respect of its management of UCITS products;
*Oversee the operational environment of Luxembourg domiciled products and its compliance with Luxembourg regulation and other Group Compliance policies;
*Provide advice and guidance to management concerning interpretation of Luxembourg laws and Regulations. Keep the management company and delegated investment managers informed of regulatory developments applicable to Luxembourg domiciled products;
*Respond to and acting as liaison between the Company and the Luxembourg and overseas regulators in respect of Luxembourg domiciled products and ensure compliance with all reporting requirements;
*Monitoring and oversight of delegated investment managers and compliance with Luxembourg regulation;
*Monitoring and oversight of investment risk management compliance;
*Oversight of legal environment in respect of transfer agents, custodians, correspondent bank and other operation service providers outsourcing services comply with Luxembourg regulation;
*Oversight that AML procedures, distributor process and market timing/late trading controls relating to Luxembourg domiciled products comply with Luxembourg regulation and the group policies;
*Coordinate major shareholding notification process;
*Administer the Luxembourg fund management company Compliance Manual and support best practice development;
*Ensuring processes for advising on and handling of client complaints, claims and litigations the Luxembourg fund range;
*Support learning and training programs relating to Luxembourg regulation, particularly AML and UCITS developments.

The Competencies

*A minimum of 3-4 years experience in a similar role
*A university degree and relevant professional training and are fluent in English
*Good knowledge of legal and compliance issues and experience of UCITS and other UCIs
*Knowledge of modern concepts of corporate governance and risk management
*Independence and confidence, Intelligence and Initiative, capable of lateral thinking
*Good judgment, enthusiasm and willingness to learn
*Team spirit and willingness to take on work which may be outside the scope of normal
duties

For further information on this role or other opportunities, please contact Michele Cardaropoli as soon as possible - CONFIDENTIALITY ASSURED.
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