Job Description
The positionAs (Permanent) Compliance Officer you will be responsible for a wide range of activities. Your responsibilities will include but will not be limited to:Keep up-to-date with regulatory developments in the industry, provide analysis to the Conducting Officer - Compliance, on new regulatory developments impacting the companyAssist the AIFM in complying with the obligations under the AIFM regulations, guidelines, circulars and lawsIdentify and assess the compliance risk of the AIFM including AML/CFT risk as well as applicable laws and regulationsAnalyse and implement all relevant legal and regulatory changes for AIFMsEnsure compliance of the existing policies and proceduresStrengthen the internal control systemSetup and execute compliance checks according to the compliance monitoring planConduct and assess result from the on-site monitoring and testing on designated controls defined within the Compliance Monitoring PlanDraft/review policies and procedures to ensure they are up-to-datePrepare compliance reports to the Conducting Officers and to the BoardAdvise and monitor follow-up on specific compliance matters jointly with the Conduction Officer in charge of Legal and ComplianceEnsure good corporate governance (reporting, conducting officers' meetings, board meetings)Undertake Client Due Diligence and ongoing reviews in compliance with the anti-money laundering requirementsStandardize existing processes, maintain procedures up-to-date, develop and implement procedures when necessaryPerform and execute the AML/CTF procedure performing AML/KYC checks on new clients i.e. initiators, investors, delegates and assetsSupport the identification, mitigation and management of AML related risks; reporting and escalation of such risks as neededSupport preparation of AML trainings and the maintenance of the training register Process regular screening and maintenance of the client database against blacklists, international sanctions, press and escalate when relevantConsult projects with compliance and regulatory expertiseEnsure awareness of staff on compliance mattersEnsure the regulatory compliance of the funds setupUndertake Compliance projects and ad hoc additional tasks as assigned by the Conducting Officer - ComplianceCorrespond with regulatory bodies (CSSF, BaFin, FMA, auditors, etc.) and maintenance of related filesPrepare external and internal audit and/or other periodic and/or ad hoc regulatory visitsYour profileHave a degree in Law or Business Administration, a relevant post-graduate degree or certification (e.g. CFA, CPA, CAMS) is a plusHave minimum 5 - 7 years of relevant experience in the fund industry (preferably coming from fund management company / AIFM with relevant experience)Excellent understanding of the laws and regulations relevant to the funds industry (especially AIFM and AML/CFT regulations)Proven ability to develop and implement compliance programs, policies, and procedures Excellent communication skills, with the ability to clearly articulate complex compliance issues to a range of stakeholders, including senior management, legal teams, and regulatorsA strategic mindset, with the ability to anticipate and mitigate risks while balancing business needs and objectivesStrong analytical skills and attention to detail, with the ability to conduct thorough and accurate risk assessments and reviewsExperience in managing relationships with regulators and external auditorsBe proactive, organized and flexiblePolyvalent, excellent ability to set priorities and respect and deliver within deadlinesPositive, self-confident, open-minded, dynamic and long-term thinkingPractical experience in a comparable position and interest in Compliance and AML/CFT relevant topicsHave strong drafting skills in English with a high level of accuracy and attention to detail; further language skills like French and/or German are considered as a plusHave a client focus with a solution mindset and a hands-on approachHave proven ability to work autonomously and demonstrate initiativeAutonomous with an excellent team spirit with good communication skillsLexGo
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