Chief Risk Officer & Chief Compliance Officer

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CHIEF RISK OFFICER

Job description:

  • Be leader of the Risk Management team of rapidly growing third-party AIFM, co-operating with conducting officer responsible for risk and reporting to Risk Committee and the Board of the AIFM;
  • Be responsible for maintenance and amelioration of the risk system of the AIFM, policies and procedures primarily for private equity, real estate and debt strategies
  • Organize and/or perform initial and regular risk assessments for managed funds;
  • Organize and/or perform initial risk assessments (ex-ante) for transactions made by the managed Funds and for their disposals
  • Participate in co-ordination and/or production of regular and ad-hoc reports to the senior management, investment committee, risk committee and the Board of Directors of the AIFM and to the regulator. Ensure identification of potential or actual breaches of the risk limits and compliance of the funds with their risk profiles;
  • Support the monitoring of investment compliance of the funds under management; co-operate with portfolio managers and the compliance team
  • Make sure that a log of risk events for the Funds is maintained
  • Co-ordinate exchange of information between the administrators, investment advisors, depositaries, etc. Communicate with the professional of the clients.
  • Assist in the analysis and implementation of regulatory changes (CSSF Circulars, UCITS, AIFMD, ESMA guidelines);

 

CHIEF COMPLIANCE OFFICER

Job description:

  • be a master organizer, enjoy variety and a methodical planner to ensure that the AIFM and the fund under its management are always consistent and comply with applicable laws regulations.
  • be thorough in all you do, using your own judgment to highlight any significant finds and escalate if rules and regulations are breached. Attention to detail is a must have as you’ll be responsible for producing timely and accurate compliance and AML reports for the AIFM and its funds under management.
  • ensure we comply and meet our KYC obligations as you organize and conduct automated KYC screening and reporting, safeguarding us from potential risks.
  • prepare compliance opinion and ensure quality of AIFM Acceptance Committee Minutes and Investment Proposals and the related documentation. You will support and assist in any request coming from the internal and external auditor of the AIFM from a compliance point of view. You will also ensure the correct handling of complaints and oversee the due diligence on third party service providers.
  • be a team player at heart, pro-active and with an eye for detail, as well as great organizational skills so you can prioritize your day-to-day and meet the deadlines.
  • be second line of defense and ensure that we are compliant with applicable laws, corporate and service standards, company policies and procedures. With the support of your team and using your own judgement you will need to identify any risks or concerns and report them in a timely manner.

 

Your Profile:

  • Academic degree in finance, economics, mathematics or equivalent;
  • Professional qualifications (CAIA, CFA, FRM) would be considered an advantage;
  • 5 to 8 years of related experience in Luxembourg fund services industry with relevant risk management and compliance experience. AIFM experience is required; UCITS V experience is welcome
  • Excellent written and verbal proficiency in English;
  • Able to organize and manage work of the risk team;
  • Understanding of risks related to financial instruments;
  • Good understanding of financial mathematics, statistics and modelling techniques;
  • Analytical mind and ability to understand technical subjects;
  • Able to read and understand legal documentation;
  • Good level of skills in Microsoft Office tools (Word, Excel, Access);
  • Awareness of fund industry related regulation;
  • Familiarity with at least of one of the following strategies: Real Estate, Private Equity and Debt Funds required.

 

APPLY HERE: katherine@royalton-partners.com and katrin@royalton-partners.com

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