Compliance Officer

Redbridge Recruitment are currently recruiting for a global Asset Management firm.

The position they are looking to fill is for a Compliance Officer.

This person should be Business-driven with a pro-active view on compliance and a genuine interest in regulations and legal development. High integrity, positive, organised and selfconfident, with a drive to solve problems. Used to work both alone and in a group. Capable of executing multiples tasks and projects. Confident presenter.

The successful candidate will be part of the group compliance team and the responsible Compliance Officer for the Compliance function of the Asset Management SA in Luxembourg.

The Compliance Officer will monitor and assess on a regular basis the adequacy and effectiveness of the Company’s measures, policies and procedures put in place to prevent risk of failures and the Company’s compliance with requirements of the UCITS Law, the AIFM Law and other regulatory frameworks applicable to the Company. The Compliance Officer will report on a regular basis to the management and the Board of Directors of the Company. The Compliance Officer will also advise those relevant persons, including management, responsible for carrying out services and activities to comply with the Company’s obligations.

The Compliance Officer closely works with the management on all business areas to develop workable policies and procedures to ensure compliance with CSSF regulations. Interacting with the Conducting Officers of the Company on an ongoing and daily basis, the Compliance Officer provides advice and guidance, and addresses any potential issues arising.

Responsibilities:
– To monitor, analyse and assess the laws and regulations related to the Company’s registered products and licensed activities.
– To produce appropriate instructions and policies in order to align the Company’s procedures (e.g. for internal controls) with such laws and regulations and contractual obligations or limitations.
– To produce and be responsible for the company’s compliance review plan and the compliance monitoring plan.
– To continuously review the compliance of such instructions and policies and propose adjustments and improvements in cooperation with persons operationally responsible.
– Identify and analyse the potential risk areas including legal or regulatory obligations.
– Propose and monitor the implementation of risk-mitigating measures.
– Evaluate the potential risks linked to the implementation of new systems, products or reorganisation of processes.
– To assist with any communications and reporting to the Luxembourg CSSF.
– Work closely with legal, risk and compliance personnel within the Group.
– Participate in group project task forces which relate to the Luxembourg management company and/or the group compliance function.
– Prepare reports and participate in monthly management committee meetings reporting on compliance matters to senior management, including recommendations
– Report to the board of directors
– Take ownership of fund legal documentation and draft, liaise with external advisors where necessary, for updating such documents.
– Assist in the coordination of the internal and external auditors, legal counsels and other external advisors in day-to-day matters and in connection with specific projects.
– Assist with basic legal matters including 1) review of fund legal documents 2) review of service agreements.

If you are interested, or know someone, then please get in touch with alan@redbridgerecruitment.com for a confidential chat.