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Compliance Manager

Job ID: 4179654003

  |   Location: Luxembourg

Reports to the Head of Compliance

The purpose of this position is to act as a compliance representative within the Aztec Group’s Luxembourg office, taking responsibility for the day to day compliance activities and forming part of the group-wide Risk and Compliance team, assisting with its on-going development and implementation of the Aztec Group’s compliance strategy. The Compliance Manager will provide key input in Compliance subjects, relevant for the Luxembourg office and will be a key contact point for the Compliance and Anti-Money Laundering and Counter Terrorism Financing (“AML/CTF”) activities of Aztec Netherlands.

Key Responsibilities:

  • Assist in developing leading practices in relation to managing Compliance within investment funds’ and corporate services’ activities;
  • Promote awareness of, and compliance with, the Aztec Groups policies;
  • Take responsibility for the effective management of day-to-day compliance activities, monitoring and reporting, ensuring that the Compliance Monitoring Programmes (“CMPs”) are performed, in collaboration with Compliance Analysts, to the required level and completed within the relevant time frame (including carrying out testing when appropriate);
  • Identify potential regulatory issues and work with the business to develop solutions to prevent poor regulatory outcomes;
  • Provide Compliance support, when required, to the daily activities of Aztec Netherlands and ensure compliance with relevant AML/CTF rules;
  • Liaise internally, assist and advise client teams and managers as and when required;
  • Provide support and guidance to the local Management with regards to the application of the relevant laws and regulations in Luxembourg;
  • Actively manage the Compliance Team (currently including 2 full time members), by assisting them and helping their development and career progression;
  • Build relationships with the wider risk and compliance team across all jurisdictions and maintain those relationships through effective written and verbal communication;

Skills, knowledge, expertise:

  • A university degree or equivalent in Law, Economics, Finance or other relevant subjects or equivalent professional qualification;
  • 4-5 years of experience in a compliance role within the financial services sector in Luxembourg;
  • Ability to take ownership and demonstrate initiative, to negotiate, influence, build consensus and successfully navigate within a demanding environment;
  • Independent in the completion of tasks assigned;
  • Self-motivated and capable of prioritising and organising workloads as required;
  • Ability to take decisions and take actions rapidly (as may be expected from a Compliance Manager);
  • A detailed understanding of, and experience with, performing compliance activities within a financial services company, in particular in relation to AML/CTF subjects, Luxembourg alternative investment funds (“AIFs”) and corporate services;
  • Knowledge of the regulatory requirements and practices related depositary services for AIFs under the Alternative Investment Fund Managers Directive (“AIFMD”);
  • General good knowledge of the Luxembourg regulatory environment;
  • Working knowledge of Outlook, Word and Excel;
  • Fluent in English. French and/or German would be an advantage;
  • Ability to work as a team member;
  • Good management skills;
  • Proven service delivery skills;
  • Strong communication skills (both written and verbal);

We will provide the training, both in house for relevant technical knowledge and also professional qualifications to enhance your professional development. You will need to be quick to learn new systems and great with people, as close working relationships between our colleagues and clients is at the heart of what we do.

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