Compliance Officer
Join a dynamic boutique asset management firm where you'll play a key role in overseeing legal and regulatory matters across a range of investment projects. This position offers a hands-on opportunity to contribute to the structuring and compliance of innovative fund initiatives in a specialized and agile environment.
Key Responsibilities
- Lead the legal structuring of new investment vehicles (funds and sub-funds), including drafting, submitting, and maintaining fund prospectuses and associated documentation
- Prepare and review legal contracts, internal agreements, and board resolutions
- Manage regulatory filings and applications for new projects or amendments, and coordinate with supervisory authorities throughout the approval process
- Conduct AML/KYC checks on clients, counterparties, and asset portfolios, ensuring thorough due diligence both at onboarding and on an ongoing basis
- Monitor and investigate compliance issues or irregularities, recommending appropriate remedial actions
- Compile and submit regulatory reports and disclosures required by auditors, regulators, senior management, and the board
- Develop and assess internal policies and procedures to ensure alignment with both local and international regulatory standards
Candidate Profile
- Degree in law, finance, economics, or a related discipline
- Familiarity with regulatory frameworks such as UCITS, AIFMD, CSSF Circulars, and ESMA/CESR guidelines-or a strong willingness to learn
- Strong analytical skills and proficiency in Microsoft Excel
- Self-driven, quick learner, and capable of working independently
- Fluent in English; additional fluency in French or Italian is a plus
FAQs
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