Compliance Analyst (FTC 1 Year) (M/F)
The Compliance Analyst will support the Compliance Officer in identifying the existing rules but also the upcoming rules which may impact the business, notably:
- Directives, laws, regulations and circulars governing the conduct of business activities of the management company and funds;
- Laws and circulars dealing with professional obligations, e.g. the rules concerning the fight against money laundering and the financing of terrorism, as well as the rules of conduct of the financial sector and investor protection rules;
To assist the Compliance Officer in (i) identifying, analyzing, managing and preventing compliance breaches and risks inherent to the business activity and (ii) developing and/or reinforcing existing controls in order to mitigate such risks;
To support the Compliance Officer in providing analyses or opinions and general advice on Investment Compliance matters such as :
- Interpretation and communication of investment restrictions;
- Assessment for new investment products, eligibility of instruments, strategies and eligible markets;
- Review/Validation of investment breaches.
To support the Compliance Officer maintaining knowledge of and compliance with all applicable policies and procedures, laws, rules and regulations governing the management company and AB funds;
To assist the Compliance Officer in performing ongoing control functions (maintenance of the compliance monitoring program and of the conflict of interests matrix);
To assist the Compliance Officer for the audit coordination of internal and external examinations;
Any other duties as assigned by the Compliance Officer.
The candidate should:
- have a university degree.
- have a minimum of 3 years of experience in audit, advisory or legal/compliance function within the Luxembourg fund industry.
- have a good understanding of rules applicable to the Luxembourg investment fund industry.
- have a very good understanding of the internal control mechanisms and obligations.
- be willing to develop his/her knowledge of the legal/regulatory environment applicable to investment funds in Luxembourg.
- demonstrate integrity and accountability.
- be flexible, analytical and detail-oriented.
- be able to interact with all level of employees within the organization.
- be a team player.
- be fluent in French and English (written and oral).
Previous experience in/with a UCITS management company and/or AIFM would be considered and advantage.