Job Title: Compliance Officer
We are seeking a Compliance Officer specialising in Investment Funds to join our team.
* Assist in reviewing due diligence documentation and checklists for the onboarding of new clients and investors, as well as for periodic reviews.
* Assist in reviewing requests from the Transfer Agent concerning investors' compliance matters.
* Help ensure the day-to-day compliance monitoring of investment funds, including the preparation and verification of compliance reports, review of breaches and calculations of potential impacts.
* Perform daily screening of clients, investors, and related parties against sanction and PEP lists, with proper documentation and escalation as needed.
* Support in the execution of transaction monitoring controls related to investors and client operations.
* Participate in the annual review of the PEP registers.
* Assist in the implementation and enhancement of the Compliance Monitoring Plan, its controls, and overall framework.
* Assist in handling compliance-related queries from the first line of defence.
* Support the review and maintenance of client account opening documentation and system updates.
* Support the Head of Compliance with internal and external audit requests and due diligence processes involving oversight parties (e.g. Boards, Depositaries, AIFMs), and regulatory reporting (e.g., Annual RC Report, year-end closing documents, AML annual survey, etc.).
* Maintain various regulatory registers, including the Complaints register, operational incidents register, CSSF notification logs, register of Suspicious Activity/Transaction Reports (SARs), as well as records related to physical access and security software updates.
* Contribute to the improvement of compliance systems and processes and assist in updating relevant policies, procedures, and training materials.
* Liaise with internal teams and attend meetings to support due diligence efforts.
* Escalate any identified issues to the Head of Compliance.
* Participate in exciting compliance-related projects.
Requirements:
* Bachelor's degree (or equivalent) in Finance, Law, or a related field required.
* 1–2 years experience in compliance or a similar role within the Luxembourg fund industry preferred.
* Understanding of AIFMD and CSSF regulations relating to compliance desirable.
* Eager to deepen knowledge of the Luxembourg fund industry and investment compliance.
* Organized, detail-oriented, and comfortable managing multiple tasks.
* A clear communicator and enjoy working both independently and as part of a team.
* Proactive, motivated and capable of working under pressure when needed.
* Familiar with tools used for sanction and PEP screenings.
* Fluent in French and English.