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Head of Compliance - Luxembourg

Location: 

Luxembourg, LU

For our office in Luxembourg we are currently looking for a: Head of Compliance.

 

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 Director or Senior Manager Compliance Officer you will report directly to the Chief Risk and Compliance Officer located in Luxembourg and you will have the following responsibilities:

 

JOB DESCRIPTION:

 

  • Supervise the Luxembourg compliance team;
  • Act as Compliance Officer of Alter Domus Alternative Asset Fund Administration;
  • Act as Compliance Officer of Alter Domus Depository Services;
  • Report to the Board of Directors of Luxembourg companies (including Alter Domus Luxembourg);
  • Ensure these Luxembourg companies are compliant with relevant legislation and regulatory codes;
  • Create and maintain compliance plans, procedures, systems and practices and ensure that these are followed by other compliance professionals and junior staff;
  • Implement and undertake compliance monitoring programme;
  • Review of the KYC files for new clients and identification of main issues and follow up missing information in line with group processes and procedures;
  • Review KYC on investors when escalated to compliance or during periodic review;
  • Identify the main risks in relation with the monitoring of existing clients;
  • Maintain all registers such as Conflicts of interest, reportable events, complaints from clients, etc;
  • Be part of the Global Client Acceptance Committee;
  • Follow up of audit recommendations both internal and external;
  • Train new joiners and advanced training such as new regulations, AML etc...

     

     

YOUR PROFILE:

 

  • You have significant experience in compliance in the financial sector in Luxembourg;
  • You are suited to manage a team;
  • You have a qualification specialised in the Financial Services industry ;
  • You will hold an appropriate qualification in compliance or AML/CFT/fraud prevention;
  • 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;