THE JOB:
The position involves taking on a dual leadership function within Compliance, combining responsibilities typically associated with a Chief Compliance Officer and a Regulatory Control Function Holder.The role provides independent oversight of regulatory adherence, operational controls, and risk management across the organisation.
Key duties include:
-Regulatory Compliance
Monitoring and interpreting applicable legal and regulatory requirements.
Ensuring full adherence to relevant financial regulations and supervisory expectations.
Acting as a point of contact for regulatory authorities and auditors, maintaining all related documentation.
Establishing, implementing, and enhancing internal policies and procedures related to compliance, AML/CTF, and delegation oversight.
-Compliance Program Development
Designing and maintaining comprehensive compliance and AML/CTF frameworks.
Updating policies to reflect regulatory changes.
Reviewing business processes to ensure alignment with legal and ethical standards.
Leading compliance-driven projects and performing risk assessments with appropriate mitigation plans.
-Training & Awareness
Developing and delivering internal compliance training.
Supporting AML/CTF training initiatives and maintaining training records.
Advising staff on compliance-related topics.
-Monitoring & Reporting
Assessing the effectiveness of the compliance framework and reporting findings to senior management and boards.
Preparing periodic compliance reports for internal and external stakeholders.
Managing reporting tools and addressing breaches, including corrective actions.
-Risk Management
Identifying and assessing compliance-related risks, including AML/CTF risks.
Maintaining an AML risk management framework aligned with organisational priorities.
-Ethics & Integrity
Promoting a strong culture of ethics and responsible conduct across the organisation.
-Audit Coordination
Overseeing internal control reviews and preparing for internal/external audits or supervisory visits.
-Regulatory Control Function (RC)
Preparing regulatory reports and overseeing internal control activities related to this specific function.
THE CANDIDATE PROFILE:
-Bachelor’s degree in business, finance, law, or a related field; advanced certifications (e.g., CFA, CPA, CAMS) are considered an advantage.
-At least 5 years of experience in compliance or a closely related field within financial services.
-Solid track record in developing and implementing compliance and AML/CTF frameworks.
-Strong communication skills, able to explain complex regulatory matters to varied stakeholders.
-Strategic thinker with the ability to anticipate regulatory impacts and balance compliance with business needs.
-Excellent analytical capabilities and a high level of attention to detail.
-Experience in managing relationships with regulatory authorities and external auditors.
-Fluency in English required; proficiency in German is a strong asset.
-Strong ethical mindset and a genuine commitment to regulatory integrity.
THE CLIENT:
Our client is a financial services company.
We are committed to protecting your privacy and ensuring the confidentiality of your personal information. Before submitting your application, we kindly ask that you take a moment to review our Privacy Policy.
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.
