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Conducting Officer - Compliance

  • Location: Luxembourg
  • Salary: €140,000 - €160,000
  • Job type: Permanent
  • Job reference: NM/173637
  • Sector: Asset Management/Funds
Job Description

My client is a leading International Asset Manager looking to hire a Compliance Conducting Officer to lead their Compliance function in Luxembourg. This is a permanent position and a great opportunity to lead and function as Subject Matter expert on all Regulatory Compliance matters from a local perspective, but also be part of a Global Regulatory Compliance team. My client is one of the most respected,  asset management firms and a premier provider of global investment management. This is an excellent opportunity for an experienced Compliance Conducting Officer looking for a new challenge and a chance to be part of a firm which attracts, develops and retains the best talent in the market. 

 

The Role Responsibilities: 

  • As Compliance Conducting Officer you will be responsible for supervising and oversight of the Luxembourg compliance AML/CTF programme - specific to AIFMD, as implemented in Luxembourg. 
  • This will include, ensuring compliance with the applicable regulatory and legal framework. 
  • The Compliance Conducting Officer will work with senior managers of the business Globally, to review, and enhance where relevant the AIFM's policies and procedures. 
  • The conducting officer will continue to implement and oversee the various CSSF and other requirements of the AIFM. 
  • Monitoring and assessing all measures taken to mitigate compliance and AML/CTF risks impacting the business. 
  • Coordination of the periodic conducting officers and AIFM board meetings including all documentation related to such meetings and supervision of corporate governance matters of the AIFM and the underlying AIF's (Liquid and illiquid funds). 
  • Staying abreast of the regulatory developments that are relevant to AIFM and clear communication of these to senior management and board members. 
  • Compliance Reporting and Documentations - coordination of the monthly, quarterly and annual regulatory reporting requirements, including review of reports provided by external service providers. 
  • Provision of regular compliance and AML/CTF reports to the Board and the Conducting Officer Meetings. 
  • Develop and maintain documentation pertaining to the compliance and AML/CTF function such as risk policies and procedures. 
  • Ensure the legal and regulatory requirements with respect to the AIFs marketing across various jurisdictions are met.

 

Experience Required:

  • Minimum 8-10 years of experience within the asset management sector, with a preference of 5-6 years of experience with a Luxembourg AIFM or a third party Management Company. 
  • Experience as a Conducting Officer is essential. 
  • Previous experience with open and close ended AIF's would be  advantageous. 
  • Broad knowledge of AIFMD and UCITS knowledge/regulatory requirements is essential. 
  • Professional qualification or a masters degree (Economics, Finance or Law). 

 

This Role Offers: 

  • Competitive Base Salary + Benefits
  • Collaboration:  open floor office - conducive to a supportive team-spirit, culture and environment.
  • Seniority: This role will allow the successful candidate to partner with stakeholders to ensure compliance with regulatory requirements - advising the Board, senior managers and other Conducting officers on Compliance related matters.
  • The opportunity offers on-going engagement with a wide range of stakeholder across various locations.
  • Autonomy and global visibility. Being part of a small local team, but with security of being part of a global entity and team. 

 

Next Steps:

If you would like to schedule a confidential call to discuss this role in more detail, please email me your CV to nm@barclaysimpson.com 

 

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