Posté le 13/01/2012 Funds Compliance Officer (m/f) chez Rowlands International
- Métier Administration, Secrétariat
- Type de contrat CDI
- Référence 9003
Our client is an independent private bank which operates internationally and specializes in asset management for sophisticated private and institutional clients. Its core competence lies in Private Banking, Investment Banking and Asset Management. The Luxembourg office has been founded several years ago and has since then actively established different branches in the EU.
Being the Management Company of the Group’s Funds, the Luxembourg entity has outsourced the majority of the central administration, custody and transfer agent functions and is responsible for the supervision of the external service providers. Our client is currently looking for a Funds Compliance Officer (m/f).
Your responsibilities:
• Identify compliance risks, establish and/or maintain appropriate compliance controls as defined in CSSF circular 04/155.
• Ensure adherence to law, CSSF circulars and internal regulations of the investment company and Fund management company with emphasis on the following operations:
o AML/KYC processes at the transfer agent.
o AML/KYC processes at distributors.
o Equal treatment of investors within subscription and redemption process.
o Investor disclosure by subscriptions and redemptions.
o Market timing and late trading.
o Conflicts of interests at delegated service agents (asset managers, distributors etc).
o Best execution with delegated asset managers.
o Inducements with delegated asset managers.
o Investor complaints.
• Performing regular and comprehensive compliance risk assessments and testing with regards to the above-stated issues.
• Maintaining and updating compliance manual.
• Liaising with internal and external audit to be excluded - Co-ordination and monitoring of legal and regulatory requirements regarding distribution of funds of funds authorized for distribution in Europe.
• Liaising with Luxembourg authorities.
• Co-ordination of adaptations, updating and implementation of the Group policies required with support of the Head Compliance Asset Management.
• Assist in general tax compliance issues
• Liaise with International Asset Management platform.
• Maintaining a reporting line to COO based in Luxembourg.
Your profile:
• You hold a university degree with a strong finance and/or legal background.
• You have 4 to 8 years of relevant experience in a Legal or Compliance position with a very good knowledge of UCITS IV principles.
• Knowledge in modern concepts of risk management (corporate) especially the financial side (fee flows, VAT etc.)
• Good understanding and experience of corporate governance and audit in Luxemburg / EU and knowledge on PSF in Luxemburg.
• You have very strong analytical skills as well as good financial and mathematical understanding.
• You are capable of working independently and proactively.
• You are flexible and you are motivated to work in an international environment.
• Multicultural project management experience would definitively be an asset for this position.
• You are fluent in English, French or/and German would be considered as an advantage.
Pour postuler
For more information and a confidential discussion about the position we invite you to contact Mrs. Marilyn Colas-Hurlin (+352/46.41.35.462 m.colas-hurlin@rowlandsonline.com).
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Rowlands International offers 50 plus years of experience in recruitment and retained executive search as well in the provision of human capital services. We have successfully completed an impressive number of job search assignments for many prestigious clients in Luxembourg, as well as across Europe. We see our high servicing quality as our strength. It differentiates Rowlands International and ensures the services we provide are the optimum available in the market today. As business competes, Rowlands International plays an important role in helping candidates and employers.
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