The selected candidate is expected to be an appropriately skilled and qualified compliance professional who will understand and ensure compliance with the relevant regulatory regimes and in particular the AIFM and UCITS Management Company regulatory environment. As a Senior Compliance Officer you will report directly to the Head of Legal & Compliance of Alter Domus Management Company who is located in Luxembourg.
- Competitive Base Salary + Discretionary Bonus + Complete Set of Benefits
- Permanent, Full time
- Alter Domus
Compliance Senior Officer - Luxembourg
- Ensure that Alter Domus Management Company is compliant with relevant legislation and regulatory codes;
- Review of the KYC files for clients and counterparties of Alter Domus Management Company. Identification of main issues and follow up missing information in line with group processes and procedures;
- Present KYC files for new clients and counterparties to the Global Client Acceptance Committee;
- Review KYC on High-Risk investors when escalated to compliance or during periodic review;
- Identify the main risks in relation with the monitoring of existing clients;
- Maintaining all registers such as Conflicts of interest, reportable events, complaints from clients and investors, etc;
- Assist Head of Legal & Compliance in following up of audit recommendations both internal and external;
- Reviewing compliance policies and procedures;
- Providing qualitative compliance advice to the business;
- Assist Head of Legal & Compliance with regulatory reporting for Alter Domus Management Company and liaise with the supervisory authority;
- Assist Head of Legal & Compliance with periodic reports to senior management of Alter Domus Group and Board of Directors of Alter Domus Management Company;
- Undertake compliance monitoring programme;
- Training of new joiners on new regulations, AML etc.
- You have a qualification specialised in the Financial Services industry;
- You will ideally hold an appropriate qualification in compliance or AML/CFT/fraud prevention;
- You have 4-5 years’ experience in compliance in the financial sector in Luxembourg. Experience in AIFM or Management Company would be considered an advantage;
- You have very good knowledge of Microsoft office 2007 (Excel, Word, PowerPoint);
- You are familiar with screening tools of clients (Word-check or other similar tools);
- You are fluent in English; any other language will be considered an advantage.