Our client is a global investment banking and diversified financial services group. They have over 10000 employees globally with further plans for expansion.
THE RESPONSIBILITIES:
Provide compliance support to Asset Management teams across EMEA including relevant branches and assist with regulatory issues relating to fund origination and distribution, institutional fund management, affiliates transactions and licensing.
Build a strong working relationship with internal and external stakeholders and act as main point of contact for the CSSF, FMA and other regulators where Asset Management has a branch presence, in conjunction with Risk Management Group Compliance
Assist with compliance review and approval of new transactions, products and funds which will include working closely with international sponsors and guiding them through local requirements.
Review of marketing materials
Develop and maintain compliance plans, related policies and procedures and monitor compliance with these policies.
Take responsibility for the preparation of regulatory compliance reports as required per the compliance plans and governance framework. This includes regular reports to the boards, the executive committees, Asset Management’s regulators and internal stakeholders.
Carry out ongoing assessment of the compliance framework operating within the business and ensure adequate controls are established.
Oversee the monitoring, reporting and escalation of compliance issues.
Keep abreast of upcoming, new and revised rules, regulations and directives applicable to the business, and facilitate changes as required. This includes proactive and early communication with business and compliance stakeholders to ensure timely compliance with any changes required.
Assist senior management with the delivery of key divisional projects as required.
liaise with compliance colleagues to assist with the delivery of an effective tailored training programme.
Liaise with senior management, relevant boards, Risk Management Group Compliance and assisting with External Regulatory correspondence.
Conducting Initial and on-going due-diligence and ongoing monitoring of delegates and outsource providers.
Act as an escalation point for the onboarding of clients by third parties and risk assess investments where required.
Attend Board Meetings and Executive Committee meetings to advise Senior Management and the governing body of Asset Management regulated entities.
EXPERIENCE REQUIRED:
Your prior experience gained within the asset management industry (may include related experience in a legal, financial crime compliance, or regulatory role) preferably within multi-asset manager or UCITS manager
You will be familiar with the European and Luxembourg regime relating to asset management.
Experience and a good understanding of other local regimes in key jurisdictions in Europe including Austria, Germany, Switzerland, and the Nordics will also be beneficial.
You will be able to demonstrate a solid understanding of both the UCITS, AIFMD and MIFIDII directives, as well as local laws and circulars including but not limited to CSSF Circular 20/752, the 2010 and 2013 Law and relevant AML Laws and regulations.
For further information please contact Jordan White
