Luxembourg Job Openings
ZEDRA
Compliance Officer
August 16, 2024
ZEDRA Luxembourg is a specialised PFS authorized by the CSSF to provide services to corporate companies as well as funds.
ZEDRA is currently looking to expand its activities to AIFM services through the extension of its license to a fully authorized AIFM; in this context, ZEDRA is seeking to recruit a Compliance Officer to complete a team of professionals supporting this activity with our policies as well local regulations. Position will evolve to a “Conducting Officer” role when licence is granted.
ZEDRA is currently looking to expand its activities to AIFM services through the extension of its license to a fully authorized AIFM; in this context, ZEDRA is seeking to recruit a Compliance Officer to complete a team of professionals supporting this activity with our policies as well local regulations. Position will evolve to a “Conducting Officer” role when licence is granted.
The Compliance Officer seeks to ensure that the AIFM’s activities comply with regulations.
This position aim to performing controls and providing recommendations, as a matter expert with regard to existing regulation, and/or related to the execution of market transactions in accordance with internal and external directives, professional code of ethics, rules of conduct and other legal market requirements in these matters.
Key Accountabilities
We are looking for highly motivated individuals with a strong work ethic, who have a keen interest and understanding of Compliance.
The preferred candidates for this position will be professionals who possess:
This position aim to performing controls and providing recommendations, as a matter expert with regard to existing regulation, and/or related to the execution of market transactions in accordance with internal and external directives, professional code of ethics, rules of conduct and other legal market requirements in these matters.
Key Accountabilities
- Implement and follow-up of necessary controls to execute the annual compliance monitoring plan defined and approved by Zedra AIFM’s management (planning, execution, documentation, reporting of findings and control of the implementation of corrective measures).
- Centralisation of Compliance issues in accordance with the Compliance Policy and Charter;
- Serve as the primary liaison with CSSF regarding internal governance, Compliance, and AML/CTF matters concerning the AIFM
- Act as a key individual in the annual long-form report conducted by external auditors
- Conduct AML/KYC due diligence on investment counterparts and prepare the AML/KYC acceptance committee
- Monitor regulatory developments and review AIFM procedures to ensure compliance with new regulations and CSSF circulars
- Provide support to investors during onboarding, including preparation of subscription documents and coordination with transfer agents
- Oversee AML/CTF compliance of delegates and report findings to senior management
- Prepare for and facilitate AIFM quarterly board meetings and Conducting Officers meetings
- Offer proactive assistance in internal audits concerning internal governance, compliance, AML & CTF oversight of delegates, and related matters
- Onboarding of prospect clients for both SPVs and Funds, perform AML/KYC reviews
- Conduct activities to identify, assess and mitigate compliance risks
- Provide support to the business lines and operations teams with explanations, recommendations and trainings on their functions
- Cooperation with authorities (when/if necessary)
- Follow the new legislation and regulations in Luxembourg and adapt the existing procedures and policies
- Assist on new Compliance projects
- Delivery of the performance of the Compliance monitoring program
- Perform control reviews on ongoing due diligence performed for client side
- Review escalation for material daily hits
- Support on internal Governance by the way of submitting compliance reports and analysis
- Contribute to the development of a Compliance framework and culture
- Oversight of ICT outsourced activities to be compliant of DORA regulation , to be the point of contact with IT.
- Update and draft policies on an ongoing basis to be compliant with the AIFMD regulation
- Filing the yearly mandatory CSSF reports to be compliant with AIFMD
We are looking for highly motivated individuals with a strong work ethic, who have a keen interest and understanding of Compliance.
The preferred candidates for this position will be professionals who possess:
- Master’s degree in finance, law, or a related field
- At least 5 years of experience in a similar role
- Exhibit a strong grasp of the AIFM regulatory framework, including the AIFM Law of 2013, Circular 18/698, and Delegated Regulation 231/2013, as well as AML/CTF and any other regulatory requirements applicable to the collective investment sector (including but not limited to : ESG / SFDR, etc …)
- Proficiency with Microsoft Office tools ; any other IT skills considered as an advantage
- Display excellent teamwork skills, a proactive approach, curiosity, and attention to detail
- Fluently speak business English ; any other language considered as an asset
- Good communication skills and the ability to work within a team; and
- Be proactive, reliable and highly organized.
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