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For our office in Luxembourg, we are currently looking for a COMPLIANCE SENIOR OFFICER. We offer a dynamic and international corporate atmosphere as well as the benefit of customized training adapted to your needs throughout your career.
JOB DESCRIPTION:
The selected candidate is expected to be an appropriately skilled and qualified compliance professional who will understand and ensure compliance with the relevant regulatory regimes. As a Senior Compliance Officer you will report directly to the Senior Compliance Manager located in Luxembourg and you will have the following responsibilities:
- Ensure that Alter Domus Alternative Asset Fund Administration (ADAAFA) and Alter Domus Depository Services (ADDS) are compliant with relevant legislation and regulatory codes;
- Review of the KYC files for new clients of ADDS and ADAAFA. Identification of main issues and follow up missing information in line with group processes and procedures;
- Present KYC files for new clients to the Global Client Acceptance Committee;
- Review KYC on High-Risk investors when escalated to compliance or during periodic review;
- Identify the main risks in relation with the monitoring of existing clients;
- Maintaining all registers such as Conflicts of interest, reportable events, complaints from clients, etc;
- Assist Senior Compliance Manager in following up of audit recommendations both internal and external;
- Reviewing compliance policies and procedures;
- Providing qualitative compliance advice to the business;
- Assist Senior Compliance Manager with regulatory reporting for ADAAFA and ADDS;
- Assist Senior Compliance Manager with periodic reports to senior management of Alter Domus Group and Board of Directors of ADDS and ADAAFA;
- Management and follow-up of KYC screening of alerts generated by Pythagoras/UBO database for clients of ADDS and ADAAFA;
- Undertake compliance monitoring programme;
- Training of new joiners on new regulations, AML etc.
YOUR PROFILE:
You have a qualification specialised in the Financial Services industry;- You will ideally hold an appropriate qualification in compliance or AML/CFT/fraud prevention;
- You have 5-6 years’ experience in compliance in the financial sector in Luxembourg. Experience in Transfer Agency would be considered an advantage;
- You have very good knowledge of Microsoft office 2007 (Excel, Word, PowerPoint);
- You are familiar with screening tools of clients (Word-check or other similar tools);
- You are fluent in English; any other language will be considered an advantage.
ABOUT US
Independent and possessing more than seventeen years' experience in its field, Alter Domus has become a leader in corporate and management services for private equity & infrastructure and real estate funds as well as listed and unlisted companies.
Our staff of over 2400 people also provides fund administration and financial reporting services. We mentor and develop our employees’ technical knowledge and practical skills. We also champion commitment and a customer-oriented mindset.
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