Compliance Asset Management
View: 118
Update day: 25-04-2024
Category: Legal / Contracts
Industry: Ressources humaines et recrutement
Job type: CDI
Job content
About Our Client
Our client is a big family-owned bank active in wealth and asset management.
Job Description
1. AML Compliance
Assist with the on-boarding of institutional client relationships
Monitor KYC and KYD review
Conduct AML controls on clients transactions
2. Change & Transversal Projects
Get involved in regulatory projects
3. Investments Compliance
Conduct controls on portfolios/ mandates (cross trade, cancelled and amended trades, best
execution, disclosure thresholds…)
Perform controls on market conduct rules
4. Documentation
Review Marketing documentation (producer and distribution sides)
Develop and update compliance manuals and key operating procedures and policies for AM
The Successful Applicant
University degree in Economics, Law or equivalent, Compliance Management certificate
A minimum of 5 years’ experience in financial services industry (with a strong bias to Asset management) as Compliance Officer
Established experience in dealing with Asset Management regulation in Luxembourg
Good understanding of financial products and Asset Management activities, market conduct rules and Swiss regulations
Fluent in French and English
What’s on Offer
A dynamic team with extensive projects
Deadline: 09-06-2024
Click to apply for free candidate
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