SENIOR COMPLIANCE OFFICER (M/F)
DO Recruitment is recruiting a Senior Compliance Officer. The Senior Compliance Officer will be involved in internal controls and procedures to ensure that the company adheres to regulations and will ensure that appropriate compliance-related information is produced and reviewed as appropriate.
- Participate actively into implementation and maintenance AML and Compliance Control Plan in an independent manner and considering the regulatory requirements, follow-up on recommendations, risk mapping and requests of executive bodies.
- Review of documents and procedures in place to identify possible weaknesses or risk verifying the compliance of the business activities with applicable regulatory requirement (AML, GPDR, MIFID, MAR etc) to assess Compliance and AML risk and to report accordingly.
- Perform investigation on identified suspicious client and client’s transactions, initial and ongoing due diligence on distributors/fund initiators and third parties in accordance with AML rules.
- Handling of claims and complaints made by customers and/or reported by distributors.
- Proposes new directives/procedures to enhance systems, methodologies and process simplification and to improve efficiency.
- Monitoring the implementation of recommendations and support, when required, business function in their implementation.
- Assists the Compliance Manager in projects in which he/she is involved.
- Master’s degree in legal, economics, finance, business administration or related field
- Other certification would be an asset
- At least 3 years’ experience in Compliance, audit or similar position in the fund industry in Luxembourg
- English is mandatory, French/Italian would be an asset
Our client is a reputable asset management company based in Cloch D’Or.
At the final stages of the recruitment process, the successful candidate can be asked to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check might also be requested.