Compliance Officer

We are looking for a Compliance Officer (M/F) on a permanent contract.

• Support the Authorized Manager in charge of compliance and in particular, as part of a team, to provide specialist advice and recommendations across a range of legal, compliance and regulatory topics to support the client facing teams;
• Review Client On-boarding and Ongoing Review files.
• Review Investors’ KYC (at onboarding and on an ongoing basis) for the Transfer Agent business;
• Setup and/or provide continuous improvement of processes related to compliance, across the firm (including Risk Assessment). This includes developing, updating and implementing policies, procedures, and controls to ensure adherence to relevant laws, regulations, and industry standards.
• Periodic execution of controls from Controls Monitoring Program, including among others: Transaction monitoring, KYC reviews, World-check review of open hits, Access controls.
• Undertake legal and regulatory research and support the drafting of agreements, templates, resources and guidance, as applicable.
• Monitor of CSSF Newsletter.
• Investigate and resolve compliance issues, incidents, and breaches in a timely and effective manner, implementing corrective actions as necessary.
• Assist during the preparation of the documents for the Internal Audit process and recommendations follow-up.

• Bachelor's degree in finance, business administration, law, or a related field; advanced degree or professional certification (e.g., CAMS, CFE, CRCM) preferred.
• Minimum of 3 years of experience in compliance roles within the financial services industry, with specific expertise in the Luxembourg regulatory environment.
• Demonstrable understanding of the CSSF regulatory context within which Fundamentals operates, gained through experience in a comparable environment (i.e. fund industry) either within a service provider or a Management Company.
• Excellent knowledge of the AML/TF regulatory environment.
• Good knowledge of relevant regulations and directives (e.g. AIFMD, MiFID II, GDPR, SFDR, FATCA/CRS, etc.).
• Knowledge of funds and Alternative Investment Funds (e.g. Private Equity, Real Estate, debt)
• Basic knowledge of commercial or contract law.
• Strong analytical skills and attention to detail
• Ability to work independently and manage multiple priorities in a fast-paced, deadline-driven environment.
• Excellent communication and teamwork and interpersonal skills
• Ability to maintain discretion to deal appropriately with confidential information.
• Good experience of using Microsoft Office (Word, Excel, Outlook, PowerPoint). Excellent document and formatting skills.
• Fluency in English, knowledge of French and other EU languages would be an advantage

Your well-being is of paramount importance to us, and central to our success. We provide a range of benefits, training and education support, and flexible working arrangements to help you achieve success in your career while balancing personal needs. We recognize diversity as a source of organizational pride and strength. We have made it a priority to reflect our nation’s evolving diversity in the people we hire, and the culture we create in our organization.

You recognize yourself in this job description? Don't hesitate to send us your application.