A leading provider of professional services (audit, accounting, tax, financial engineering, HR, and information technology) is looking for a Manager Compliance/RC.
Main responsibilities :
- Review due diligence of new client structures on-boarding
- Manage the whole day-to-day Fund Compliance process to ensure reports are completed with high accuracy (take prompt action to correct problems, review breaches and impact calculation, prepares and reviews management reports etc.).
- Improve the Compliance Monitoring Plan (CMP) and run the CMP on regular basis
- On a daily basis, review screening of clients, investors and related parties against sanction lists and PEP lists review, follow-up and escalation;
- Review Transaction Monitoring reports from the Transfer Agent as well as accounting teams;
- Annual review of PEP register and High-Risk clients and investors;
- Follow up of queries and trigger events from the Client Relationship Managers (CRMs);
- Drive periodic client files review
- Review of account opening documentation and system update of Client details;
- Support the Internal Audit, External Audit process due diligence requests by relevant parties of their oversight to the client funds e.g. Boards, Depositary & AIFMs;
- Lead system or processes enhancement, for review and update of relevant policies and procedures;
- Drive, liaise & collaborate with first line of defense, attend meetings and perform due diligences;
- Respond promptly to client problems/queries on “business as usual” and requests while ensuring accuracy, timeliness and quality of client reports.
- Take the RC mandate
Requirements:
- You have a Bachelor – Master degree in finance or law;
- You have 5 years of experience in compliance and at least 2 years of experience in fund compliance in Luxembourg;
- You have knowledge of the AIFMD and CSSF Circulars related to compliance;
- You show good organizational skills in order to meet deadlines and to keep well-documented records;
- You have experience in management of a team;
- You communicate effectively and efficiently with clients, colleagues, managers and other departments and can work autonomously as well as part of a team;
- You are able to work under pressure
- You are familiar with sanction lists screening tools;
- You are fluent in French and English.
