A niche Investment Management firm is looking for an Assistant Compliance Manager to join their newly established Luxembourg office. An exciting opportunity for a strong Generalist Compliance candidate looking to join a business continuing to grow.
- Review and updating necessary policies and procedure to new requirements or updating existing policies. Ensuring board sign off of all policies annually /when a material change occurs.
- Preparing comprehensive reports for committees/management/Board.
- Producing the Compliance Monitoring Programme.
- Undertaking on-going compliance monitoring.
- Providing advice and assisting the staff of the AIFM on the regulatory implications of actual and new regulations and changes to the business;
- Working with Administrators to ensure that KYC onboarding process is completed and is in line with the AML policies.
- Pre-trade and post trade compliance checks.
- Maintaining the compliance registers (e.g. complaints, conflict of interest, breaches, gifts and inducements, restricted list, GDPR);
- Allocating and monitoring all compliance training is completed.
- Minimum 3 years Compliance experience working within a similar Investment Management business.
- Strong understanding of AIFMD and of UK & Lux regulators (FCA & CSSF).
- Fluency in French & English
- Strong academic background, degree educated, ideally.
- Excellent verbal & written communication skills, comfortable working within a small, friendly high-calibre team.
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