Junior Compliance Officer – AIFM

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Junior Compliance Officer – AIFM

Job description


Role summary:

We are seeking a motivated young professional or graduate to join the Compliance Office of Sanne LIS S.A. to support and work on various Compliance tasks, including AML/CFT topics. You will be reporting to the head of Compliance and work together closely with the other members of the department. There will be a well-founded induction for the different tasks.

Key responsibilities:

  • Ensure compliance, together with the Compliance Team, with local laws and regulations as well as to the internal and group policies and procedures;
  • Support the Compliance Team in a broad spectrum of day-to-day-business;
  • Assist in the performance of controls in accordance with the Compliance Monitoring Plan and ad hoc controls;
  • Take on tasks in the daily processing of hits as part of the AML/CFT and sanctions screening of clients, business partners and funds assets;
  • Depending on qualification and after adequate training, act as an escalation point when analyzing AML/KYC for new and existing clients and investments;
  • Assist in maintaining the Compliance logs, such as Conflict of Interest register, Complaints register, PEP register;
  • Review the AML/CFT KPIs from the transfer agent, the (delegated) portfolio manager and support the risk assessments for the respective funds;
  • Be responsible for creating Compliance KPI-reports on fund level;
  • Support the preparation of the annual Compliance report, the AML/CFT risk report, the annual AML/CFT risk assessment;
  • Assist in the introduction of group policies as well as the administration and updating of internal policies;
  • Provide support to the Head of Compliance;
  • Any other duties in the scope of the role that the company requires.

    Requirements

    Skills / experience:

  • Strong relevant academic background (preferably in law or economics) or a relevant working experience in the financial services industry in Luxembourg, preferably in the fund industry or audit;
  • Willingness to obtain a solid knowledge of the relevant legal and regulatory requirements of the Fund industry in Luxembourg as well as AML/CFT;
  • Work self-motivated, pay attention to details, have strong organisational skills, are willing to learn, resilient, reliable and assertive;
  • Strong communication and negotiation skills in English, German would be an strong asset (basic knowledge of the French language is desirable);
  • You like making decisions (according to prior guidance) and working on multiple issues on a daily basis;
  • Ability to prioritize tasks, like to carry out tasks on your own responsibility, but you also enjoy working in a team and with different departments;
  • Discretion in dealing with confidential information is a matter of course for you;
  • Confident in the use of common MS Office programs (Outlook, Word and PowerPoint). Good Excel skills would be a strong asset.

As Sanne LIS S.A. is a financial organisation, all new employees will be required to undergo a criminal record check.

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