Compliance Officer
We are looking for a proactive compliance professional to strengthen our Compliance and AML/CFT function. In this role, you will be involved across the entire operational lifecycle of our investment fund activities while contributing to a range of regulatory, oversight, and project‑related initiatives. You will report directly to the Head of Compliance and work closely with various stakeholders across the business.
Responsibilities
- Keep track of new and evolving regulations and help translate them into actionable compliance requirements.
- Support the execution of the Compliance Monitoring Plan and help produce regulatory and internal compliance reports for senior leadership, the Board of Directors, and the CSSF.
- Conduct due diligence reviews on external service providers to ensure ongoing compliance standards.
- Maintain and update internal compliance logs, registers, and documentation.
- Monitor regulatory reporting obligations and ensure timely submissions.
- Carry out AML/CFT and KYC assessments on clients, investors, and counterparties.
- Support the delivery of RC (Responsible for Compliance) services for our fund clients, including recurring and annual reporting requirements.
- Coordinate, document, and track correspondence with the AED on behalf of the Funds' RC function.
- Assist in preparing the AED's annual AML/CFT questionnaires and regulatory reports.
- Contribute to the maintenance of AML/KYC policies, procedures, and country risk assessments.
- Participate in the testing and review of internal controls to assess ongoing compliance with internal policies and regulatory expectations.
- Assist during internal and external audits as well as supervisory reviews.
- Help oversee delegated and outsourced functions by performing due diligence and monitoring their performance and adherence to regulatory standards.
- Take part in cross‑functional compliance projects and initiatives aimed at improving processes, controls, and regulatory readiness.
- Provide day‑to‑day support on compliance‑related matters across the organization.
Requirements
- Solid expertise in compliance and AML/CFT matters, ideally within a regulated financial services environment.
- At least 5 years of professional experience in a relevant compliance or AML/CFT role.
- Good knowledge of the regulatory framework applicable to AIFs.
- Broad understanding of the asset management industry and its operational environment.
- Strong communication and presentation skills, with the ability to interact confidently with internal and external stakeholders.
- A self‑starter who can work independently, manage priorities, and take initiative when needed.
- Fluency in English; German language skills are a plus.
FAQs
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