Senior Compliance Officer, AIFM – Luxembourg
Role summary:
The primary purpose of the Compliance team (the “Team”) is to anticipate, identify and assess the compliance risks of the business as well as to assist the senior management in controlling these risks. These risks may include a variety of risks such as reputational risk, legal risk, litigation risk, risk of sanctions, as well as some operational risk aspects, in connection with all activities of the business.
One of the Team ‘core missions consist in implementing efficient measures in relation to the fight against money laundering and terrorist financing, and to ensure that business relationships be conducted in compliance with the Luxembourg AML/CFT framework, and relating procedures and policies.
The Senior Compliance will support the Team in providing support namely on the following tasks:
- Implementation of efficient AML/KYC measures on the Company and Funds’ counterparties;
- Compliance oversight on Delegates;
- Maintaining of adequate Compliance procedures and internal/regulatory reporting.
- While performing these tasks, the Analyst will also aim:
- Performing efficient regulatory watch.
Role Responsibilities:
- Coordination of the AML/KYC process on the Company and Funds’ counterparties/assets to assist the Company’s Responsable du Contrôle du Respect des obligations professionnelles (“RC”) in fulfilling one’s mission;
- Performance of initial/ongoing/periodical due diligences on the Company’ Delegates;
- Contribution to the Compliance Policies and Procedures update in line with the regulatory needs incl. the conflicts of interest’s register;
- Contribute to internal reporting and the reporting due to the relevant authorities (CSSF, AED etc)
- Contribution to the staff training, in particular on Financial crime topics
- Actively participate in change, carry out any assigned tasks within the given time frame. Be aware how own activity supports and contributes to a process of change management, advise/plan accordingly;
- Understand and contribute to achieving the vision set out by business leaders. Work collaboratively within team and wider group;
- Relationship management: build effective relationships within own team, identify and engage with key individuals/contacts within the wider business;
- Take responsibility for quality and accuracy of own data;
- Autonomously and proactively ensure knowledge of and compliance with policies and procedures and keep up to date with amendments;
- Ensure that all weaknesses/incidents identified in relation to service delivery/internal processes are reported to a Manager, recorded and appropriate actions are implemented;
- Gain and maintain an understanding of relevant legal and regulatory requirements.
Knowledge/skills/experience
- Considerable experience operating in a similar role within a professional services organisation;
- Must hold or be working towards are relevant professional qualification;
- Knowledge of name screening tools and European/Luxembourg AML/CFT legal/regulatory framework;
- Understanding of broader financial markets and investment products.
If you are interested in this position, please send your resume to lux.recruitment@altumgroup.com. We look forward to hearing from you.
In compliance with Luxembourg Law of 23 July 2016, the selected candidate will be requested to provide a criminal record (section 3).
As per Altum Group’s policy, the chosen candidate will be required to initiate the background check.
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