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Compliance Officer / Management Company
Falkerin S.à r.l.Strassen, LU
Il y a plus de 30 jours
Description de poste
Responsibilities :
Support the Compliance department in performing client acceptance and on-going monitoring as well as AML-CTF reviews by performing the on-boarding of new clients; i.e. pre-acceptance, acceptance and annual review, as applicable
Support the Compliance department in preparing the onsite visits on and drafting concise and high quality due diligence reports summarising the related findings on the service providers of the investment funds under the management, as required; i.e. Depositary, Central Administration and Transfer Agents, Distributors, Portfolio and Investment Managers, Investment Advisers and other service providers
Draft and follow-up on investor’s eligibility letters, as well as pre-checking of investors eligibility status as Professional Investors and support the Legal Officer on the AIFMD marketing notification process and other regulatory CSSF filings, such as investment funds annual accounts, country notifications, etc.
Contribute to improving internal procedures and working practice for due diligence process
Be responsible for collecting AML / KYC and due diligence documents and assess the client risk level in the CDDS tool for the management approval
Positively and productively communicate with the External Services Providers and clients relating the AML / KYC, on-boarding, due diligence processes and key performance indicator and reporting
Keep abreast of changes in regulations, legislation with a focus on management companies’ obligations
Maintain and up to date the company’s due diligence follow up lists and DOMOS compliance module data base
Ensure timely follow-up of all counterparts’ due diligence processes
Ensure timely follow-up of all on the investor’s eligibility process and CSSF notifications
Undertake any other duties commensurate with the position as may be requested from time to time
Requirements :
A university degree in Law or Audit and an adequate professional experience in Luxembourg market as compliance / internal control officer (4-5 years)
Compliance certification M1, M2 or M3 (IFBL, Luxembourg) will be a plus
Experience in other relevant areas (Custody, Fund Compliance, Investment Compliance, Investment Management, Fund law, Oversight, Due Diligence, Management Companies, Luxembourg Company Law) could be considered as a distinct advantage
Strong knowledge of funds regulation (UCITS, AIFMD and unregulated structures)
Strong knowledge of AML-CTF legislation, regulation and CSSF Circulars, including KYC requirements
Proficiency in English, written and spoken. Good working knowledge of French
Computer offices skills (Excel, Word, etc.)
Good communication skills, well organised and flexible
Eager to learn and keep up to date regarding changes in the compliance, AML-CTF legislation, regulation and CSSF Circulars
Ability to work autonomously
Capacity to communicating well in writing and drafting comprehensive reports
Competence and accuracy
Appropriate office conduct and attitude to work
A “can do” attitude combined with the ability to work independently