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CONDUCTING OFFICER – COMPLIANCE (M/F)
The Conducting Officer oversees the management of all compliance matters related the company. In addition to leading the compliance function, the Conducting Officer is responsible for compliance with the professional obligations, as regards the fight against money laundering and terrorist. The Conducting Officer will advise on matters impacting the company, whilst liaising with internal stakeholders, as well as both internal and external service providers. The Conducting Officer is relied upon to instill a robust compliance culture, including overseeing the compliance monitoring plan and managing all requirements of and communications, with the CSSF and other regulatory bodies/authorities, as required.
THE ROLE:
- Lead and manage the compliance team, including the compliance officer
- Represent the company with the CSSF and other authorities on all required compliance and data protection matters and ensure the timely preparation and submission of required notifications
- Undertake and oversee compliance monitoring and risk assessments (using a risk-based approach)
- Review, update and, where appropriate, develop policies and procedures
- Prepare comprehensive written reports on compliance matters for the Authorized Management and the Board of Directors
- Identify new and emerging legislation, its impact and work with business colleagues to ensure efficient, effective and timely implementation
- Work within the Global Compliance team reporting to the Global Chief Compliance Officer to support existing and create new efficiencies across the team
- Foster a culture of regulatory and operational best-practices, while maintaining the company’s commitment to client service
- Collaborate with Senior Management in Luxembourg, Dublin and the US, in support of an expanding and global business model
- Oversee functions currently outsourced to group affiliates, including the exception escalation and monitoring processes governing internal and client-specific outsourcings and related reporting
- Liaise with the group governance and control functions including: Third Party Risk Management, its Global Privacy Office, its Information Security team and its Enterprise Risk Management function, to uphold the company’s global policy requirements and identify any gap in coverage and requirement mitigation protocols advisable to meet the regulatory requirements in Luxembourg
THE CANDIDATE PROFILE:
- Third level qualification, preferably a university degree in Finance, Business or Law
- Experience as a CSSF approved Conducting Officer and RR of a fund administrator or AIFM/ManCo
- Fluency in in English is required, with French being an advantage
- Deep knowledge of Luxembourg financial services including comprehensive understanding of industry best practices and regulations
- Ability to manage and plan for multiple deadlines, across competing priorities, identifying opportunities for enhancement and delivering them timely, accurately, and completely
- Critical thinking and high quality written/presentation skills, coupled with sound reasoning/judgment, and a foundation of high integrity/ethics
- Willingness to travel to global locations and support teams outside of normal business hours
- Highly developed interpersonal skills, including thoughtful active listening and cross-cultural sensitivity
- Proven ability to balance pace over perfection, with a risk-based lens that prioritizes short and long term goals and change effectively
OUR CLIENT:
Our client is a leading global provider of asset management and investment technology solutions. The client offers an international environment, stability, an office in the city centre and a competitive salary.
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.
