Internal Audit / Regulatory Operations – Alternative Asset Manager

Internal Audit / Regulatory Operations – Alternative Asset Manager



We have an exciting opportunity for a Regulatory Operations Analyst to join our clients’ Operations Team.

As a Regulatory Operations Analyst you will manage the audit cycles of the alternative investment portfolios and securitisation companies to which the company acts as AIFM, Investment Manager/Advisor, Platform Operator or Monitoring Agent, and be responsible to secure their compliance with the applicable rules of conduct, regulatory and tax schemes.

The Regulatory Operations Analyst will become the relationship interface for
multiple parties, including auditors, tax advisors as well as internal departments across the group.

The successful candidate will form part of a small and dynamically growing team in Luxemburg and Frankfurt, reporting to the Head of Operations and be supervised by the Chief Operating Officer.

Job Description:


  • Manage and coordinate the annual audits of alternative investment funds and securitisation companies in particular with a view to:
  • Agreeing an audit timetable with auditors and administrative agents and monitoring its compliance and progression;
  • Managing internal input deliveries to the respective financial statements;
  • Reviewing the financial statements and ensuring their accuracy;
  • Coordinating the sign-off process with the Directors of the investment vehicles;
  • Manage and coordinate operational input deliveries to the corporate and group audits in respect of both, investment vehicle data and process descriptions;
  • Manage and coordinate operational process audits (typically pursuant to ISAE standards);
  • Organise, review and oversee the regulatory reporting obligations of investment vehicles accurately and timely in liaison with external service providers and advisors; depending on the domiciliation of the investment vehicle, such obligations can include:
    – Filing submissions pursuant to the AEOI scheme (FATCA/CRS);
    – Annex 4 reportings under AIFMD;
    – VAT and corporate / income tax reportings in Luxembourg;
    – Organise, review and oversee certifications and reports that may be requested on an ad-hoc basis by investors pursuant to their own regulatory requirements, including:
    – Certification of TER calculations;
    – Tax transparency reportings (DACH)

Your Profile:


  • At least 2 years of relevant work experience in similar positions in the financial services industry, preferably an audit or accounting firm;
  • Strong knowledge of accounting principles, with a focus on Lux GAAP and IFRS;
  • Understanding of international and Luxembourg tax and regulatory reporting requirements;
  • Working knowledge of the alternative investment universe would be a plus, in particular with respect to absolute return and private debt strategies (to be supplemented by in-house education);
  • Self-starter with an independent work attitude as well as exceptional organisation and coordination skills, project management skills would be advantageous;
  • Commercial judgment with attention to detail, ability to manage multiple and shifting priorities, with a strong focus on results and outcomes;
  • Keen perception, excellent communication and interpersonal skills;
  • English and German language proficiency to the level of business negotiations;


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