Head of Compliance – Asset Management

Our client is a boutique and growing management company and asset manager. You will be joining a human-sized operation and lead the compliance function. You will be building upon the policies and processes already in place as the company continue to grow their AUM.

Your Responsibilities

  • Implement and Manage the AML-CFT / compliance plan and policies;
  • Undertaking on-going compliance monitoring on the basis of a risk-based compliance monitoring programme;
  • Be the point of contact for supervisory authorities (CSSF, CRF);
  • Review legal documents prospectus’
  • Undertaking compliance risk assessments;
  • Assessing the appropriateness of internal policies, procedures and guidelines;
  • Drafting policies and best practice procedures;
  • Being part on the onboarding process of the new client;
  • Preparing comprehensive reports to the Conducting Officer responsible for compliance and the Board;
  • Providing advice and assisting the staff on the regulatory implications of actual and new regulations and changes to the business;
  • Raising staff’s awareness to comply with rules and regulations;
  • Perform legal watch to ensure the Company’s compliance;
  • Making recommendations for improvements regarding the manner in which compliance is achieved

Your Qualifications

  • Degree (or Master Degree) in Legal or Finance
  • Min 5 years in a UCITS and/or AIFM management company and/or Big 4 consultancy firm;
  • Understanding of the rules applicable to the Luxembourg investment fund industry;
  • Previous RC status with the CSSF is beneficial
  • Fluency in English;

The Offer:

  • Lead a compliance function
  • Taking an active and challenging role in a growing asset manager
  • Excellent growth opportunities in a supportive team
  • Strong bonus opportunity


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