We are currently looking for an experienced compliance officer to join 1 asset management team. Please find the description below and send your CV to casimir.ambali@1am.lu
ROLE/RESPONSIBILITIES:
You will be reporting to the Conducting Officer for Compliance and be responsible for:
- Plan and execute the Compliance Monitoring Plan.
- Identify, analyze, manage and report compliance risks
- Monitoring new regulatory requirements and ensure the AIFM is aware of the requirements and takes the necessary steps to comply with.
- Assisting in answering compliance-related queries raised by internal and external parties (auditors, regulators, etc.)
- Maintain and implement Compliance policies and procedures
- Review of policies and procedures of the AIFM to ensure compliance with applicable laws and regulations.
- Assist in the oversight of delegated functions, in particular to ensure the outsourced activities remain in compliance with internal policies and procedures, contracts and the laws and regulations.
- Perform compliance assessments in relation to due diligences on delegates and outsourcing arrangements.
- Report on compliance matters to the Executive Committee and the Board of Managers of the AIFM and Board of directors of the AIFs under management
- Prepare and review reporting to the regulators
- Maintain the conflicts of interest register and ensure conflicts of interest are properly identified, reported and managed, in accordance with the conflict of interest policies and the applicable laws.
- Perform agreed-upon administrative tasks (such as registering relevant data in RCS/RBE)
QUALIFICATIONS/EXPERTISE
- Master’s degree in finance, management, economics, law
- Experienced in compliance or audit roles, preferably in Management Companies and/or AIFMs.
- Good knowledge of Luxembourg AIFM regulations
- Well-organised and able to work autonomously
- Fluent in English