Conducting Officer Compliance

CONDUCTING OFFICER COMPLIANCE
 
THE JOB:
Our client is a registered UCITS Management Company, and as an Alternative Investment Fund Manager. We are seeking a Conducting Officer for Compliance to oversee and enhance the compliance risk management framework in Luxembourg. The successful candidate will ensure the organisation’s adherence to applicable laws, regulations and best practices, with a particular focus on Luxembourg UCITS/AIFMD regimes.
Reporting to the Head of Fund Compliance, you will be an important member of a 5-person Fund Compliance team across Luxembourg / Europe which is also part of a larger Compliance team. The role will not involve any people management responsibilities.
You will be responsible for implementing the Compliance Risk Management Framework (« CRMF ») and support the company to be compliant with laws and regulations thereby ensuring sound business and fair treatment of our unit holders. We do this by identifying and assessing compliance risks, providing advice, training, performing testing as well as reporting on compliance risks within all parts of the company.,You will also contribute in the implementation of the wider CRMF across the company.
The role:
·Developing and maintaining the CRMF and monitoring the implementation of the CRMF;
·Risk Identification and assessment, including identifying new and emerging Compliance Risks;
·Compliance Planning, including ensuring a well-defined Monitoring Plan and execution of plan activities;
·Providing training to enable an adequate level of compliance knowledge and awareness and to support a sound compliance culture;
·Compliance Reporting, including compliance risks and deficiencies, to the Boards and Senior Management;
·Providing proactive support through advice and training as well as constructively challenging the business and performing other tasks such as e.g. independent compliance risk assessment and testing;
·Maintaining an expert competence level in UCITS/AIFMD regulatory requirements and professional level for other relevant compliance areas;
·Maintaining a good understanding of the business and best practice in compliance risk management related to products, processes and regulatory changes;
·Participating in projects and development of  products and processes as well as advice in the implementation of new regulatory requirements from a compliance perspective.
·You’ll join a team where everyone takes ownership and contributes to the joint agenda. You will also be joining a committed team with a high motivation to deliver value-adding compliance work to promote an effective management of the compliance risk in 1 LoD, and to support the management and board oversight.
 
THE CANDIDATE PROFILE:
·Have 10+ years of relevant Asset Management Compliance experience with demonstrable experience at a senior level including reporting to Boards.
·Preferably have been previously registered with the CSSF as Compliance Officer
·Have expert knowledge in Luxembourg UCITS/AIFMD regulations.
·Have high sense of integrity, a structured approach and solid critical thinking with attention to detail.
·Have well developed verbal and written communication and interpersonal skills, and a proven ability to build and maintain relationships. [i]
 
THE CLIENT:  
Our client is a large International Asset Management Company with an excellent reputation on the Luxembourg market.
 
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As an equal opportunity employer, we embrace diversity and welcome applicants from all backgrounds. Please note, however, that candidates must possess a valid Luxembourg work permit. As we represent our clients, we are required to submit only those who meet this requirement. Unfortunately, if you do not have a valid work permit, we will not be able to consider your application.
If you are selected for the position, you will be asked to provide supporting documentation, such as copies of your diplomas, proof of prior employment, and a standard criminal record check, as part of the final steps in our recruitment process.
We appreciate your interest in our company and look forward to the possibility of working together.
 
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