Management Company Compliance Officer

The role

Roles and Responsibilities

• Developing and implementing compliance policies and procedures in accordance with Luxembourg regulatory requirements.
• Conducting regular compliance risk assessments and monitoring activities to identify potential areas of non-compliance or regulatory risk.
• Keeping up to date with changes in applicable laws and regulations and advising the management team on the impact of these changes on the business.
• Providing guidance and training to employees on compliance-related matters, including anti-money laundering (AML) and know-your-customer (KYC) requirements
• Conducting periodic compliance audits to assess the effectiveness of existing controls and processes and making recommendations for improvement.
• Perform Due Diligence on clients and delegates.
• Collaborating with internal stakeholders, such as legal, finance, and risk management teams, to ensure a coordinated approach to compliance.
• Liaising with regulatory authorities, external auditors, and other relevant parties on compliance-related matters, such as regulatory filings and inspections.
• Investigating and reporting any compliance breaches or violations to the appropriate authorities and assisting in the resolution of any related issues.
• Preparation of AML and Compliance related reports for the authority (CSSF), senior management and board meetings.

Personal Qualities required

• Bachelor’s degree in Law, Finance, or related field.
• Robust experience in compliance within the financial sector.
• Knowledge of Luxembourg and European regulations (UCITS, AIFMD and AML).
• Strong communication skills and attention to detail.
• Fluency in English is mandatory.
• Portuguese and German languages are a plus.
• Ability to thrive in an internal culture that points to innovation, customer service, internal partnership, and entrepreneurship.
• Team player capable of working effectively with various business partners and senior stakeholders. International mindset.
• Operate with high level of integrity and risk awareness;
• The right to work in Luxembourg.