Investment Compliance Officer
Investment Compliance Officer
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
- Conduct MiFID reviews as part of the overall compliance monitoring programme
- Cooperate with the CCO in the analysis and handling of investment compliance matters
- Respond swiftly and effectively to investment compliance issues
- Carry out second-line reviews of the investment product universe
- Carry out regular reviews of order handling and market transactions
- Handling of market abuse alerts
- Preparation of Suspicious Transaction and Order Reports for the CSSF
- Best execution trade monitoring
- Assistance in the control of regulatory reporting e.g. MiFIR/EMIR
- Initiate internal investigations with a degree of effective autonomy
- Draft reports on the status of investment compliance within the Bank
Qualifications :
- Fluent in both written and spoken English. French or German considered as being a significant advantage
- Minimum of five years experience in the Luxembourg financial sector
- Understanding of MiFID rules and how they impact an EU credit institution or regulated investment firm
- Sound understanding of financial markets inc. complex products
- Knowledge of regulatory environment for investor protection inc. PRIIPs Regulation
- Understanding account opening and maintenance requirements including corporate and complex structures
- Ability to work autonomously and with independence to ensure controls objectivity
- Ability to challenge improve and document processes and procedures
- Strong communication skills (both verbal and written) to provide feedback/coaching and technical awareness across teams
- Ability to identify issue root causes and recommend changes to procedures to protect the Banks reputation optimise business efficiency
Additional Information :
- A comprehensive benefits package including annual performance bonus occupational pension scheme share plan concierge services 34.5 paid holidays and more
- A great work environment in our offices located at Luxembourgs Kirchberg financial district. Complementary fruit tea and coffee
- Opportunities to develop your knowledge of financial products and markets including equities funds derivatives cryptocurrencies and more
SQ1
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
