ONE fund management: Conducting Officer for Compliance at our Super ManCo
Summary of the position
- As Conducting Officer in charge of Compliance, the successful candidate will ensure the regulatory compliance framework of ONE fund management in Luxembourg under close collaboration with the other entities of the group.
- Leading the compliance function of the business and acting as RC/MLRO, the Conducting Officer will advise on matters impacting the Super ManCo whilst liaising with the regulators as a registered Conducting Officer.
- Develop a robust compliance culture and oversee the compliance monitoring plan will also be part of the responsibilities in order to ensure that all regulatory requirements are met.
Outline of main duties and responsibilities
The Conducting Officer for Compliance will, amongst other things, be expected to:
- Lead the compliance function of the business and also be the RC/MLRO at IFM and Fund level;
- Act as a conducting officer for the Super ManCo, as a member of the Executive Committee, reporting to the Board of Directors;
- Identify the rules to which the IFM is subject to by way of its activities and keep a record of the essential rules. Liaise with the regulators and authorities in the capacity of Registered Compliance Officer for the Manco;
- Put in place and update policies and procedures;
- Undertake a regular compliance monitoring (risk-based approach) and compliance risk assessments;
- Identify the compliance risks to which the IFM is exposed in the course of its activities and assess their importance and the possible consequences;
- Ensure the identification and assessment of the compliance risk before the IFM launches a new type of activity, product or business advise on matters impacting the IFM;
- Assist and advise the senior management as regards questions of compliance and rules, in particular by bringing to their attention developments in rules that may subsequently have an impact on the area of compliance. Ensure the compliance of the funds managed and keep abreast of regulatory requirements and fund industry issues;
- Ensure that IFM staff are aware of the importance of compliance and related aspects and assist it in its daily activities relating to compliance. Be a subject-matter expert for improvements regarding the manner in which compliance is achieved;
- Prepare comprehensive written reports on compliance matters for the IFM’s Executive Committee and Board of Directors;
- Report accordingly to the other Conducting Officers, as appropriate;
Skills and experience required
- Have a degree level qualification, or equivalent, ideally in Business, Finance, Law or Compliance and Risk Management;
- Have at least seven years’ relevant work experience, preferably in a management company;
- Have a deep knowledge of the Luxembourg regulatory environment for investment funds & firms as well as relevant European regulation (such as UCITS and AIFMD, GDPR, AML directives etc.).
- Have excellent computer skills, and in particular good knowledge of Microsoft Office packages including Excel, Word, PowerPoint and Outlook email.
- Proficient verbal and written English, other languages are an advantage;
- Have the ability to communicate effectively with staff and management;
- Have confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of a positive compliance and risk management culture;
- Be well organized, with attention to detail and the ability to work autonomously and deal with a busy workload;
- Be self-motivated, mature and show initiative.
Learning and development:
- You will receive training on a day to day basis by coaching and mentoring;
- Personal development plan will be agreed on an annual basis;
- Attendance to internal training including webinars, workshops and workgroups as may be required;
- Attendance at external seminars and training events as may be required.
The Conducting Officer Compliance will report to the Head of the Super ManCo Luxembourg. In addition, the individual will work alongside the staff in the Risk & Compliance team across the firm.
Remuneration will commensurate with experience and seniority. In addition, the successful candidate will be eligible to participate in the firm-wide employee stock option plan.
- An entrepreneurial working environment in a young and motivated team;
- A multicultural environment where we promote diversity, talent & ideas;
- The ability to work and interact with a wide variety of specialists;
- Internal trainings and career development.
If you are interested in this job opportunity, we are looking forward to receiving your application.
All applications will be treated confidentially.
About ONE fund management
ONE fund management is a CSSF-authorized Super Management Company established in Luxembourg in 2019. We combine sophisticated proprietary technology, together with best-in-market applications integrated with our front end governance portal to provide our clients with a unique governance solution.