Regulatory Compliance Specialist Role
As a Regulatory Compliance Specialist, you will play a pivotal role in ensuring the compliance of investment firms with prudential regulations and internal control measures.
* You will assess regulatory compliance by reviewing reports from investment firms, identifying areas of non-compliance, and developing strategies to mitigate these risks.
* In collaboration with internal specialists, you will evaluate potential risks to which investment firms are exposed and develop plans to address these risks.
* Your expertise in legal research will enable you to resolve complex legal questions related to regulatory frameworks applicable to investment firms.
* You will apply legal powers of CSSF, manage enforcement procedures, including procedural aspects, in relation to investment firms, ensuring that all actions are in line with established protocols.
* Additionally, you will contribute to Anti-Money Laundering/Combating the Financing of Terrorism (AML/CTF) supervision aspects in collaboration with internal specialists.
* Your ability to develop regulatory expertise will be essential in handling enquiries related to the practical application of MiFID regulatory framework to investment firms.
Required Qualifications and Skills
To excel in this role, you will need:
* A university degree in law, economics, finance, or management.
* A certificate of complementary training in Luxembourg law (CCDL) is an advantage, as well as a PhD in law.
* First work experience in a local law firm, legal service of a reputable professional in the financial sector, audit, compliance of credit institutions, or supervisory authority.
* Knowledge of regulatory frameworks, administrative law, and enforcement procedures is crucial.
* BASIC knowledge of financial analysis or data mining is an asset.
* Excellent writing, analytical, and synthesis skills are required.
* Proficiency in written and spoken French and English is necessary; knowledge of German and Luxembourgish is an advantage.
* Good communication, team integration, and stakeholder interaction skills are essential.
* Organizational and follow-up skills, rigour, and ability to work independently are required.