Senior Compliance Officer AM

Do you want to take part to the international growth of an Asset Management company. Do you want to leverage on your expertise to have an impact on our organisation?
Our compliance team in Luxemburg offers development opportunities in a sucessful environment.

Your opportunity

- Identify compliance risks, establish and/or maintain appropriate compliance controls for a chapter 15 management company/AIFM with several branches abroad

- Cooperation with local legal department regarding corporate governance issues and product-related compliance issues

- Perfoming compliance monitoring at branches in Madrid, London and Milano regarding their marketing and portfolio management (Milano) activities

- Liaising with internal and external audit and CSSF

- Ensure adherence to law, CSSF circulars and internal regulations with emphasis on the following operations:

  • AML/KYC processes at the Transfer agent
  • AML/KYC processes at distributors
  • Equal treatment of investors
  • Inducements
  • Remuneration
  • Investor complaints
  • Data protection and professional confidentiality
  • Training and education of staff

- Support first line with complex issues in the area of account openings for investors from higher risk countries

- Performing regular and comprehensive compliance risk assessments and testing

- Co-ordination of adaptations, updating and implementation of the various Vontobel Group and Luxemburg specific policies, including control functions

- Maintaining and updating compliance manual incl. assessment of the internal control and compliance control framework

 

- Master of law or equivalent, or Compliance Officer certificate and compliance experience in a ManCo in Luxemburg

- At least 5 - 7years of experience as Compliance Officer in the Financial Services/AM Industry in an institutional context

- Language skills: excellent English skills, plus at least one other major European language

- Teamplayer, results and solution oriented, self-directed and precise worker

 

Location

Luxembourg / 18, rue Erasme

 

Contact

Guy de Brabois
+41 (58) 2837335
Corporate Human Resources