KR Recruitment is delighted to be recruiting this Head of Compliance role for a leading international Asset Management company. The position as “Compliance Officer” is a contract / maternity cover position – it can also be part time 3 or 4 days a week. The position will be responsible for the oversight of compliance of the Luxembourg operation and works directly within the Luxembourg regulatory requirements and standards, you will report to the General Counsel in London.
- The role will be supported by members of the Compliance team covering distribution, regulatory change and compliance monitoring and reporting and provides oversight of mandate compliance, trade surveillance and front office advisory functions within the GCO (General Counsel Office).
- Responsible for providing a pro-active advisory service to partners and staff in relation to Luxembourg regulatory and reputational matters and ensuring successful management and implementation of Luxembourg regulatory chang
- Responsible for ensuring that possible breaches of regulatory requirements or internal compliance policies and standards are effectively investigated and appropriately resolved by the tea
- Business change (new products and services): early stage advice regarding the design and structuring of new products, services and systems, to ensure that they meet regulatory requirements and internal compliance standards
- Responsible for issuing compliance reports to the boards
- Responsible for ensuring that client complaints are promptly and fairly handled
- Responsible for developing a strong external network with senior compliance professionals from similar firms to ensure that Threadneedle remains at the forefront of best practice.
The Compliance Officer will coordinate with the Lead Compliance Officer in relation to:
- On-going refinement of policies and procedures designed to minimise the risk of breaches of Luxembourg regulatory requirements
- Luxembourg aspects of the compliance monitoring programme.
- The Compliance Management Information
- Collating and reviewing Luxembourg Compliance reporting for supported areas
- Allowing for prospective investors to be properly vetted.
- You will have in depth knowledge of the Luxembourg Compliance landscape
- You will work directly with the CSSF and be approved by them
- You will have strong knowledge of UCTS, and AIF would be adventageous
- You will have had a senior / leadership role in a Luxembourg Complinace Department
- You will build strong relationships internally and externally