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Senior Compliance Officer- Mifid II

  • Luxembourg
  • Up to 120 000 €

Our client operates as an investment management firm. The Company offers portfolio management and advisory services to individuals, institutions, trusts, private funds, charitable organizations, and investment companies.

Missions:

  • Overseeing the compliance of both in-house and third-party funds
  • Supporting the person responsible for control (RC)
  • Follow up and control of MIFID II legal and operational requirements, including clients portfolio
  • Provision of the annual AML training and different operational trainings
  • Assisting the Conducting Officer Compliance with their responsibilities and scope as outlined in section 5.3.2 of the CSSF Circular 18/698 related to the IFM regulation for the group (and its branches in Milan and Madrid)
  • Ensure that all legal requirements and regulations applicable
  • Evaluating and revising the company’s compliance governance, policies, rules, and procedures. This includes ensuring compliance with (AML-CFT) requirements and meeting the requirements related to MIFID II
  • Conducting initial and ongoing due diligence on investment funds
  • Support the RR in providing a summary of the main compliance subjects
  • Support the RR in the follow up of internal and external audit recommendations
  • Maintain and keep communication to a high standard with CSSF and other regulatory authorities
  • Ensuring adherence of local and Group Compliance policies & procedures
  • Proficiency in Mifid II is a prerequisite for this position.

Contact: ms@barclaysimpson.com

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.