Lead Compliance Officer / RC

Open

We have an exciting lead Compliance Officer role with an established Fintech company, as it grows its Luxembourg presence.

You’ll be the Compliance Officer, the MLRO and RC, whilst advising the business on robust compliance governance.

They’re a dynamic business, growing fast, and they appreciate proactivity, ambition and enthusiasm in their employees.

The role is 100% office based, so there’s no scope to work from home. The client finds that in-person contact feeds into the positive energy and trust required in a company that’s thriving.

This client seeks a rare set of skills; local Luxembourg knowledge, (AIFMD and MIFID II knowledge in particular is essential), combined with some initial knowledge of the UK’s FCA handbook and the ESMA Guidelines, as the role-holder will also be responsible for overseeing UK compliance.

The role reports to the COO in London, and combines regulatory compliance, AML, monitoring and oversight, reporting, and internal advisory work:
• Ensuring regulatory compliance,
• Maintaining up to date knowledge of CSSF, FCA and ESMA guidelines
• Setting up the compliance framework, policies, procedures, an appropriate compliance monitoring plan, compliance dashboard, etc.
• Acting as Compliance Officer for the MIFID entity the RC for the Luxembourg entity,
• Overseeing cross border distribution compliance and investor protection measures,
• Providing internal training, etc.

To be considered, you’ll need:
• Strong experience in Luxembourg within investment services or private banking, probably with a minimum of 7 years, but there’s no upper ceiling of experience
• In-depth knowledge of regulations such as AIFMD, MiFID II, MAR, MiFIR, EMIR, and CSSF circulars
• Great at managing stakeholders, communicating well and fostering strong professional relationships in a global business
• Solid AML expertise
• Experience with monitoring tools, possibly with AI
• A professional qualification in compliance or law or equivalent (e.g. CAMS, ICA, CISI)
• Excellent fluent English, with French or German being advantageous
• An acceptance of being office based

If this describes you, apply now with your CV in English to be considered.