Head of Compliance – Asset Management

Our client is a boutique and growing management company and asset manager. You will be joining a human-sized operation and lead the compliance function. You will be building upon the policies and processes already in place as the company continue to grow their AUM.

Your Responsibilities

• Implement and Manage the AML-CFT / compliance plan and policies;
• Undertaking on-going compliance monitoring on the basis of a risk-based compliance monitoring programme;
• Be the point of contact for supervisory authorities (CSSF, CRF);
• Review legal documents prospectus’
• Undertaking compliance risk assessments;
• Assessing the appropriateness of internal policies, procedures and guidelines;
• Drafting policies and best practice procedures;
• Being part on the onboarding process of the new client;
• Preparing comprehensive reports to the Conducting Officer responsible for compliance and the Board;
• Providing advice and assisting the staff on the regulatory implications of actual and new regulations and changes to the business;
• Raising staff’s awareness to comply with rules and regulations;
• Perform legal watch to ensure the Company’s compliance;
• Making recommendations for improvements regarding the manner in which compliance is achieved

Your Qualifications

• Degree (or Master Degree) in Legal or Finance
• Min 5 years in a UCITS and/or AIFM management company and/or Big 4 consultancy firm;
• Understanding of the rules applicable to the Luxembourg investment fund industry;
• Previous RC status with the CSSF is beneficial
• Fluency in English;

The Offer:

• Lead a compliance function
• Taking an active and challenging role in a growing asset manager
• Excellent growth opportunities in a supportive team
• Strong bonus opportunity