Senior Compliance Officer
il y a 1 semaine
Your role
- Ensure compliance of the AML Governance requirements (draft the Fund's AML Documents; manage the Market Entry Forms; ensure the accuracy of RBE filings; cause the Fund to be registered with the AED, CSSF, or Go AML as the case may be).
- Participate to the acceptance process of new business relationships (ie Distributors, Investment Managers, Investors).
- Monitor, control and verify the compliance of the AML policy on a regular basis.
- Review escalations performed by the Service providers, and potentially implement the required actions in relation to submit SARs and STRs.
- Regularly report to the Funds' Board of Directors on AML risks, and participate to the Board of Directors' meetings to present the results of the RC controls.
- Report internally on the activity of the team and key AML risks identified, regarding the overall framework and particular products, to participate to the improvement of the internal control system from an AML perspective, and periodically participate to the Company's Executive Committee to present the results of these controls.
- Act as the privileged contact person with the Luxembourg authorities, and all Funds' relationships with regards to the AML questions.
- Assist the Funds Board of Directors in responding to any AML question raised by the Funds' external auditors.
- Participate to the AML Regulatory Watch of the Company.
- Work in close relationship with the different risk and compliance lines of defense (L1, L1 Risk and Compliance, L2 Compliance and internal audit).
- University degree (BAC +5 minimum) in Economics or Finance.
- 5 to 10 years' experience in the area of Compliance (Corporate and/or AML), internal / external audit experience
- At ease using computer systems and new technologies as well as an interest in these areas.
- Good knowledge of European and Luxembourg legislation (mandatory).
- Knowledge of the full remit of compliance competencies with a comprehensive understanding of the various roles in the investment fund industry, and more particularly of the operating mechanisms of a management company, but also of a custodian bank, transfer agent, fund administration and the related regulatory framework, will be considered as an asset.
- Discretion, rigour, dependability and organisational skills
- Analytical skills (investigative mindset), sense of proportionality (risk-based approach) and sound critical thinking (professional judgement)
- Writing and communication skills, sense of diplomacy
- Team spirit (solidarity)
- Tech savvy profile
- Written and spoken fluency in French and English.
We will not accept any CVs from agencies.
In accordance with the provisions of the Luxembourg law of 23 July 2016 amending the law of 29 March 2013, candidates may be required to provide an extract from their criminal record. This document, issued by the authorities, must not be older than three months. Such a document will be requested with the aim of carrying out a character check on candidates, bearing in mind the area of activity of our establishment and, more particularly, the tasks described in the job description. Flexible and modern ways of working
As a responsible and supportive employer, we promote the well-being of our employees through a set of flexible working arrangements, ranging from a work-from-home policy for eligible functions to opportunities for annualised part-time leave and extended parental leave.
Diversity & Inclusion Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.
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