Luxembourg Job Openings
UNION BANCAIRE PRIVÉE, UBP SA
Regulatory Compliance Officer (M/F)
FULL TIME
August 24, 2024
Luxembourg
01.09.2024
100%
UBP has been represented in Luxembourg since 1971 through Union Bancaire Privée (Europe) S.A. Over the years, the UBP subsidiary has steadily expanded its presence through major acquisitions and strong organic growth. Today, it is one of the 10 most important private banks in the Principality in terms of assets under management. As the European hub of the UBP Group, UBP Luxembourg has an EU-wide licence to carry out its business activities. Our experts can therefore serve our customers in all 27 EU member states from our headquarters in Luxembourg.
Mission
The Compliance Officer seeks to ensure that the bank's activities comply with regulations and UBP ethics. He/she must ensure obedience to Compliance Policy and Charter approved by the Board of Directors and identify, control and escalate Compliance risks.
Main responsibilities
- Overall risk-based compliance monitoring program for the Luxembourg entity and its existing branches, through the controls implemented locally in accordance with CSSF and UBP Group;
- Implementation and follow-up of necessary controls to execute the annual compliance monitoring plan defined and approved by UBP's management (planning, execution, documentation, reporting of findings and control of the implementation of corrective measures), by conducting in an independent manner a priori and a posteriori internal control missions and more particularly regarding the Front-office;
- Centralisation of Compliance issues in accordance with the Compliance Policy and Charter;
- Analysing the deficiencies, determining whether they relate to the systems or individual issues and making recommendations to improve the organization;
- Performing controls and providing recommendations, as a matter expert with regard to MIFD/ESG/SFDR, 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.
Personal skills
- Solid knowledge of regulatory environment in Luxembourg (especially in private banking). Good knowledge of financial products and markets.
- Deep analytical skills, responsiveness and problem-solving attitude.
- Excellent interpersonal skills with natural ability to communicate with interlocutors at all levels of hierarchy.
-
Dynamic personality, accustomed to work either as a team than autonomously.
Education- Education: Master Degree
- Certification: Master degree in Law, Finance or equivalent
- Technical skills: Strong knowledge of regulatory environment in Luxembourg, especially applicable to banking sector
- IT Tools: Solid knowledge of MO Applications
Experience- Years of experience: 3-7 : intermediate
- Experience required: Mi FID, ESG, SFDR
- Experience in private banking: Mandatory
Language- English: Fluent
- French: Fluent
OTHER- Swiss resident: N/A
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