Share this Job

Compliance Senior Officer - Luxembourg

Location: 

Luxembourg, LU

For our office in Luxembourg, we are currently looking for a COMPLIANCE SENIOR OFFICER. We offer a young, dynamic, and international corporate atmosphere as well as the benefit of customized training adapted to your needs throughout your career.

 

JOB DESCRIPTION:

 

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. As a Senior Compliance Officer, you will report directly to the Senior Compliance Manager located in Luxembourg and you will have the following responsibilities:

 

  • Ensure that Alter Domus Alternative Asset Fund Administration (ADAAFA) and Alter Domus Depository Services (ADDS) are compliant with relevant legislation and regulatory codes;
  • Review of the KYC files for new clients of ADDS and ADAAFA.  Identification of main issues and follow up missing information in line with group processes and procedures;
  • Present KYC files for new clients 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, etc;
  • Assist Senior Compliance Manager in following up of audit recommendations both internal and external;
  • Reviewing compliance policies and procedures;
  • Providing qualitative compliance advice to the business;
  • Assist Compliance Manager with regulatory reporting for ADAAFA and ADDS;
  • Assist Compliance Manager with periodic reports to senior management of Alter Domus Group and Board of Directors of ADDS and ADAAFA;
  • Management and follow-up of KYC screening of alerts generated by Pythagoras/UBO database for clients of ADDS and ADAAFA;
  • Perform Clients Due Diligence visits
  • Undertake compliance monitoring programme;
  • Training of new joiners on new regulations, AML etc...
     
     
    YOUR PROFILE:
     
  • You have a qualification specialised in the Financial Services and Funds industry.  ;
  • You will ideally hold an appropriate qualification in compliance or AML/CFT/fraud prevention;
  • You have 5-6 years’ experience in compliance in the financial sector in Luxembourg. Experience in Transfer Agency 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.