We are working with an international AIFM who are searching for a Regulatory Compliance Officer to join the team.
Based centrally in city centre of Luxembourg, the firm have around £150 billion AUM and offer a variety of asset classes to their clients.
THE RESPONSIBILITIES:
Ensure the ongoing compliance of the firm and its investment funds, informing Conducting Officers of regulatory changes and their potential impacts, assist in drafting monthly Luxembourg Grids for the Regulatory Impacts Forum.
Draft monthly compliance reports for Conducting Officers and quarterly compliance reports for the Boards of the firm and its funds
Investigate, oversee, and report on any compliance breaches
Perform monthly portfolio holdings analysis and review eligible markets
Oversee complaints handling
Assist in drafting the annual Compliance Report to the CSSF
Conduct compliance monitoring activities
Prepare compliance reports and follow up on outstanding action points and recommendations
Submit monthly management information reports
Contribute to the oversight of third-party service providers (administration, distribution,
investment management, transfer agency)
Assist with NAV error reporting, breach notifications, and complaint resolutions
Monitor regulatory changes, correspondence, and deadlines
Handle depositary reporting and day-to-day depositary-related issues
Provide general support to the Conducting Officers
Perform compliance monitoring tests and investigations
EXPERIENCE REQUIRED:
3+ years within a REGULATORY COMPLIANCE role within an Asset Manager/ AIFM/ Manco firm.
Fluency in English is a must.
Excellent communication and stakeholder management.
Willingness to Travel on a Quarterly Basis
For further information please contact Jordan White
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