Compliance Officer

Title: Compliance Officer

Department:  Legal and Compliance Department

Location: Luxembourg

Job Description

Our client is looking for a multilingual generalist to join the Compliance team to assist management to ensure that the overall activities of the group offices in Europe will comply with all the relevant and applicable laws, regulations and regulatory rules; operate and enforce the company’s internal compliance policies and procedures;  facilitate the company’s growth strategy and expansion plans on new products and into new territories. The responsibilities associated with this role are expected to include but not limited to:

• Provide regulatory and compliance advisory to management, business and functional units in relation to EU and Luxembourg regulatory regimes
• Construct, review and maintain compliance policies, procedures and processes to ensure that the compliance systems and controls framework is adequate and up-to-date
• Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
• Monitor EU and Luxembourg regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
• Work on general compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle AML/KYC and client due diligence etc. that may be required
• Prepare internal reports and management information, assist on filing regulatory reports

 

Experience

• Minimum 5 years of relevant compliance experience in an investment bank or securities firm
• Experience in relation to securities brokerage and corporate finance preferred
• Knowledge and experience of EU and Luxembourg regulatory environments

Skills and Abilities

• A self-starter with keen initiative and excellent interpersonal skills
• A professional with high integrity
• Able to work with a minimum level of supervision
• Strong analytical and evaluative skills, attentive to details
• Good communication skill and a good team player
• Native Chinese and professional English plus a Luxembourg language (Luxembourgish/French/German) skills are essential
• One or several European language skills such as French, Spanish, Italian, Polish and Swedish are preferred
• Good understanding of EU and Luxembourg regulatory issues and developments
• General understanding of financial products, brokerage and investment banking services

Qualifications

• University degree in law, economics and accounting/finance disciplines
• Qualified lawyer or law degree holder desirable but not essential