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AIFM Compliance Manager (m/f)

Publié le 18 mai 2022

Référencey3nonjrskd

LocalisationLuxembourg

Domaine d'activitéJuridique

Type de contratCDI

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Description de l'entreprise

Our client, an international Funds and Corporate services provider, is currently looking for the following profile:

AIFM Compliance Manager (m/f)

Description de l'offre

Responsibilities

Legal

  • File and record all legal documentation as required by CSSF requirements and Luxembourg Law

  • Liaise with notaries, lawyers, banks, regulatory authorities, internal and external auditors for requests related to legal documentation and manage all corporate related internal lists and procedures

Compliance, AML, Claims and Complaints

  • Be the appointed Compliance Officer and the AML/CFT-Compliance Officer of the Company

  • Provide the services of acting as RC and liaise with external bodies and any regulator as required in respect to AML investigations e.g. the Financial Intelligence Unit of the State Prosecutor’s office to the Luxembourg district court (the ‘FIU')

  • Assist with the new business take on process from a KYC perspective including but not limited to:

    • Providing guidance to the local client facing team members on due diligence requirements

    • Reviewing KYC received for compliance with JTC and legal requirements

    • Assisting with World Check and other searches to support the take on process

    • Making recommendations to the Business Acceptance Committee with regard to the acceptance or decline of new business

  • Implement compliance processes, policies and guidelines and promote awareness of regulatory principles and requirements on a day to day basis, acting as a guide in this respect to more junior members of the team

  • Carry out various risk analyses within set parameters and produce reports, summarizing trends and key messages for the Conducting Officers and Board of the Company and client entities where relevant, advising stakeholders of necessary action to ensure compliance

  • Assist with identifying and implementing any amendments to policies and procedures and liaising with the Conducting Officers

  • Maintain accurate and up to date records ensuring all statutory obligations are complied with;

  • Deal with any complaints and/or claims in accordance with prevailing regulations

  • Maintain various registers such as but not limited to personal transactions, conflicts of interests, gifts and entertainments, etc

  • Review of the AML Batchlist to keep it up-to-date

  • Implement and maintain, in cooperation with the Conducting Officer in charge of Compliance, a Manual of Procedures which is shared with all employees and which is approved in line with prevailing regulations

  • Be responsible for analyzing, assessing and managing the risks associated with the clients as well as that of the Company, and where relevant, the local Group’s business as a whole

  • Ensure that all staff receives the mandatory AML/CFT and GDPR training

  • Ensure good corporate governance in accordance with regulatory requirements while aligning to the Company’s overall aims, business plan and long term strategy

  • Be appointed as RC of Client’s Investment Fund and provide regular reporting

  • Assess the AML/CFT nature of assets invested through the funds managed by the company

  • Perform the oversight of functions delegated by the Company in the area of AML/CFT due diligence and control, assessing – when appropriate and on an ad hoc basis – the AML checks performed by the company’s delegates

  • Identify potential compliance gaps/issues and think about way outs

  • Be one of the contact point of the local regulator and FIU

Profil recherché

Profile

  • Degree educated in Accounting

  • At least 3 years of proven working experience, in a Compliance related function in Luxembourg

  • Be eligible to be appointed as Compliance Officer of the Company (subject to CSSF approval)

  • Good knowledge of AML laws and regulations applicable in Luxembourg

  • Fluency in English is a must – French will be a plus

  • PC Literate

  • Excellent communication and team-spirit skills

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