Job Details:
REGULATORY COMPLIANCE OFFICER
Our client is a global advisory and administration firm providing a consolidated ‘one-firm’ approach to fund, family office and corporate services. They specialise in complex, cross-border solutions, operating from 14 offices across 12 countries.
An opportunity has arisen for a Regulatory Compliance Officer to join the Risk & Compliance team in their Luxembourg office.
Summary of the position
The Regulatory Compliance Officer will be responsible for compliance issues relating to the legal services, fiduciary, corporate and fund services businesses in Luxembourg and Monaco. The individual will be required to act as Compliance Officer, Deputy Money Laundering Reporting Officer (MLRO) and Data Protection Officer for the operational entities based in Luxembourg. The individual will also be responsible for overseeing the compliance function in Monaco. In addition, the individual will work with the global Risk & Compliance team and provide additional support where required.
The position requires team management functions as well. Currently the team in Luxembourg comprises of one Compliance Officer and one Assistant Compliance Officer/TA Controller.
Responsibilities:
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Overseeing licensing requirements and regulatory obligations (including reporting, applying for new business products, etc) for all licensed entities and individuals in the company operating entities in Luxembourg and Monaco, liaising with the regulators and other appropriate authorities as required;
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Implementing and managing a risk based compliance monitoring program in line with group standards;
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Maintaining appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures;
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Monitoring and advising on local and global regulatory developments and on their potential impact;
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Acting as deputy MLRO for relevant affected entities, taking receipt of and investigating internal suspicion reports and making the necessary external reports where appropriate;
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Providing advice and training to management and staff in the relevant entities on regulatory compliance matters;
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Implementation group wide risk and compliance initiatives;
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Overseeing such compliance related tasks outsourced to other group companies;
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Involvement with the group compliance risk management committee;
Requirements:
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Have a degree level qualification, or equivalent, ideally in Business, Finance, Law or Compliance and Risk Management;
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Have at least 5 years’ relevant work experience in the fund management or fund administration sector, investment or management companies
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Have excellent computer skills, and in particular good knowledge of Microsoft Office packages including Excel, Word, PowerPoint and Outlook email;
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Have the ability to communicate effectively with staff and management;
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Have a discreet and confidential manner;
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Have confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of a positive compliance and risk management culture;
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Be numerate, with good attention to detail;
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Be well organised, with the ability to work autonomously and deal with a busy workload;
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Be self-motivated, mature and able to use initiative.
Learning and development:
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You will receive training on a day to day basis by coaching and mentoring;
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Personal development plan will be agreed on an annual basis;
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Self learning;
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Attendance to internal training including webinars, workshops and workgroups as may be required;
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Attendance at external seminars and training events as may be required.
Reporting structure
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The Regulatory Compliance Officer will report to the Group Head of Risk and Compliance based in Ireland. In addition, the individual will work alongside staff in the Risk & Compliance team across the firm.
Remuneration level
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Remuneration will be market related and commensurate with experience and seniority. In addition, the successful candidate will receive a competitive benefits package and be eligible to participate in the firm-wide discretionary bonus scheme.
Should you be interested in applying for this position, please forward your CV on Word format to Nuria de la Fuente on [email protected]
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