Investment Compliance Expert (M/F)
Our client, a human sized bank, is looking for an Investment Compliance Expert for its Risk & Compliance department.
* Reading governing documents such as Prospectuses, Fund Declarations, Strategy Disclosure Documents, and Investment Management Agreements;
* Identifying and resolving interpretive issues, and reviewing investment restrictions;
* Working with internal and external auditors to facilitate controls reviews;
* Maintaining an understanding of relevant regulatory requirements to provide advice and guidance to executive management enabling them to implement compliant policies and procedures;
* Managing the new account set up and ruling maintenance process to ensure that all new accounts or updates to guidelines are completed and reviewed according to procedure while adhering to effective date timelines;
* Analyzing compliance breach trends, identifying root causes, and resolving potential systemic issues;
* Assist with preparing standard and ad-hoc information and data reports to regulators and other stakeholders as required.
Education & Background:
* BAC+5 in finance, law or similar;
* 8 years of experience in the fund industry with a minimum of 3 years in the investment compliance;
* Being up to date regarding regulations and CSSF circulars (UCITS V, AIFMD, …);
* Participating in the implementation of KPI's for the department;
* IT skills (Microsoft Office, Bloomberg,…).
Are you interested in? Send us your application!
Successful applicants will be contacted within 1 week and we guarantee the confidentiality of your application.