Conducting Officer / Compliance - FinTech

This job involves managing compliance in Luxembourg, focusing on UCI administration and corporate services, overseeing key functions, and acting as the main regulatory contact, while delivering the Compliance Risk Management framework and ensuring policy compliance.

Client Details

Our client provides a digital platform for managing equity, governance, and valuations, streamlining equity management for businesses and investors.

Description

• Manage all compliance issues in Luxembourg, focusing on UCI administration, domiciliation, and corporate services
• Oversee the compliance function's management, including key business functions
• Supervise the UCI administration business's registrar function, maintaining the UCI's unit/shareholder register.
• Deliver and manage the Compliance Risk Management framework
• Act as the main contact for the Luxembourg regulator and the Global compliance team on reporting issues.
• Monitor and advise on local and European regulatory developments
• Provide compliance advice and training to new joiners and existing colleagues
• Ensure internal policies and procedures comply with regulations, legislation, and group policies
• Implement group-wide risk and compliance initiatives
• Conduct AML/CFT risk exposure assessments and monitor delegates and business relationships
• Handle correspondence and reporting with local authorities, regulatory agencies, internal auditors, and senior management on AML and compliance matters
• Identify and assess compliance risks, including those related to new products, services, and activities
• Maintain and update the Compliance Monitoring plan, conduct regular control assessments, and issue recommendations
• Maintain relevant compliance registers, data trackers, and monitoring tools
• Monitor and update existing KYC files and assess ongoing ones
• Develop and update compliance policies and procedures according to local regulatory requirements
• Evaluate regulatory changes impacting contractual infrastructure, if applicable
• Provide guidance and training on AML and KYC matters and governance topics
• Act as an authorised signatory of the Professional of the Financial Sector entity and potentially as director of Luxembourg intra-group entities

Profile

• Must be permanently based in Luxembourg
• Significant experience in a similar role, ideally with prior authorisation as a Compliance Officer
• Excellent knowledge of alternative fund structures
• Ability to operate at the senior level with true compliance expertise
• Commercial approach balanced with compliance demands
• Detail-oriented, result-driven, and able to meet deadlines
• Excellent communication skills with strong professional English language capability

Job Offer

N/A