Senior Regulatory Compliance Officer - Luxembourg
The Senior Regulatory Compliance Officer will be responsible for compliance issues relating to the fiduciary, corporate and fund services businesses in Luxembourg, Malta and Monaco. The individual will be required to act as Head of Compliance for the PFS entity and Conducting Officer in charge of the Compliance function for the Management Company. In addition, the Senior Regulatory Compliance Officer will act as Money Laundering Reporting Officer (MLRO) or the regulated entities based in Luxembourg. The individual will also be responsible for overseeing the compliance function in Monaco and Malta. In addition, the individual will work with the global Risk & Compliance team and provide additional support where required.
The position requires team management functions as well. Currently the team in Luxembourg comprises of two Compliance Officers and one Assistant Compliance Officer/TA Controller.
- Overseeing licensing requirements and regulatory obligations (including reporting, applying for new business products, etc) for all licensed entities and individuals in the Maitland operating entities in Luxembourg, Malta and Monaco, liaising with the regulators and other appropriate authorities as required;
- Implementing and managing a risk based compliance monitoring program in line with group standards;
- Maintaining appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures;
- Monitoring and advising on local and global regulatory developments and on their potential impact;
- Acting as MLRO for relevant affected entities, taking receipt of and investigating internal suspicion reports and making the necessary external reports where appropriate;
- Providing advice and training to management and staff in the relevant entities on regulatory compliance matters;
- Implementating group wide risk and compliance initiatives;
- Overseeing such compliance related tasks outsourced to other group companies;
- Involvement with the group compliance risk management committee;
- Have a degree level qualification, or equivalent, ideally in Business, Finance, Law or Compliance and Risk Management;
- Have at least five years’ relevant work experience, preferably in the fund management or fund administration sector;
- Have excellent computer skills, and in particular good knowledge of Microsoft Office packages including Excel, Word, PowerPoint and Outlook email;
- Have the ability to communicate effectively with staff and management;
- Have a discreet and confidential manner;
- Have confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of a positive compliance and risk management culture;
- Be numerate, with good attention to detail;
- Be well organised, with the ability to work autonomously and deal with a busy workload;
- Be self-motivated, mature and able to use initiative.
- You will receive training on a day to day basis by coaching and mentoring;
- Personal development plan will be agreed on an annual basis;
- Self learning;
- Attendance to internal training including webinars, workshops and workgroups as may be required;
- Attendance at external seminars and training events as may be required.