Key Responsibilities

• Provide compliance advisory support to control and operating functions, including interpretation of regulatory obligations and reputational risk considerations.
• Oversee compliance with custody rules and support the Client Assets Protection Officer through second‑line risk assessments.
• Conduct compliance monitoring, thematic reviews, and forensic testing to assess adherence to custody, operational, and conduct requirements.
• Identify, investigate, and manage compliance issues arising from control and operating functions.
• Analyze regulatory changes and enforcement actions to assess business impact and drive implementation of required changes.
• Draft, enhance, and maintain policies, procedures, standards, and operational guidance.
• Support internal and external regulatory interactions, including audits, examinations, and information requests.
• Deliver regulatory and compliance training to stakeholders across Operations, Controllers, Treasury, Tax, and other central functions.
• Provide oversight and guidance on information barriers and related control processes.

Qualifications & Skills

• Minimum of 7 years in Compliance, Risk Management, or another control function.
• Strong knowledge of Luxembourg and German regulations, legal frameworks, and regulatory circulars.
• Experience working with regulators or supporting regulatory audits and inquiries.
• Understanding of securities and derivatives market operations and associated risks.
• Solid awareness of the European regulatory environment, including supervisory trends in reporting and custody.
• Strong written and verbal communication skills, capable of influencing stakeholders and senior management.
• Strong risk‑assessment capability, with the ability to identify, articulate, and escalate emerging risks.
• Confident challenging stakeholders while maintaining constructive working relationships.
• Highly organized, adaptable, and able to manage both long‑term initiatives and time‑sensitive escalations.