Senior Compliance Officer F/M – Investment Management Firm

We are currently seeking an experienced Regulatory Compliance Officer to join a leading investment management firm based in Luxembourg City. The firm specializes in managing UCITS and AIFMD funds and is widely recognized for its robust track record and excellence in the investment management industry. As part of its ongoing growth, the firm is expanding its regulatory compliance team.

The Compliance Officer will play a key role in ensuring adherence to local and European regulations, reporting directly to the Conducting Officer.

Key Responsibilities:

• Managing the IFM’s compliance plan and policies
• Executing the IFM compliance monitoring plan; maintaining and updating the compliance monitoring tool; undertaking testing and monitoring; disseminate results as necessary
• Undertaking compliance risk assessments
• Executing of the compliance training programme for the European fund business
• Preparing comprehensive reports to the IFM Executive Committee and various boards
• Preparing and being responsible for periodic CSSF reporting
• Maintaining complaints related records
• Maintaing and reviewing compliance breaches
• Managing the IFM’s SFDR oversight program
• Providing advice on the regulatory implications of actual and new regulations and changes to the business
• Participating in a variety of department or firm-wide project-based initiatives and working groups as and when needed
• Supporting the IFM RC with AML/CFT related controls and reporting
• Supporting the IFM RC with AML/CFT related tasks, including ongoing monitoring and periodic/ad hoc reporting

Profile:

• At least 5 years of experience in regulatory compliance, preferably within an investment management firm or financial institution.
• A good working knowledge of Luxembourg regulatory requirements (knowledge of Irish fund regulations would be an advantage).
• Effective interpersonal and communication skills and strong written and verbal skills
• Highly motivated with a strong work ethic and a desire to learn
• Strong fit with the firm’s cultural tenets of inclusivity, collaboration, accountability, and collegiality
• Experience in Private Equity Funds (advantage)
• Fluent written and spoken English required (additional European languages would be an advantage).

If you are interested in this position, please send your application to Jeanne Guériaux. Your application will be treated with full confidentiality.