Regulatory & Compliance - Senior Consultant / Manager

Regulatory & Compliance Consultant - Asset & Wealth Management

Founded in 2016, this approved audit firm (cabinet de révision agréé, supervised by the CSSF) focuses its energy and expertise on core services: external audit, internal audit, regulatory & compliance, risk management, and consulting. Since its launch, the firm has grown steadily and now comprises a team of over thirty professionals. Its mission is to deliver high-quality services through professionals with diverse experience and deep regulatory insight.

Your Role

As a key member of the Regulatory & Compliance team, you will:

• Maintain, update, and execute the Compliance Monitoring Program.
• Draft and enhance procedural manuals and internal policies.
• Conduct AML/KYC reviews of client files.
• Analyze quarterly and annual compliance activities and assist in preparing reports.
• Lead or contribute to regulatory projects (e.g., MiFID II, EMIR).
• Participate in due diligence exercises for key delegates.
• Deliver consulting services and facilitate internal trainings.
• Promote compliance awareness across the organization.
• Provide ongoing support to the Regulatory & Compliance department.

Your Profile

• University or Business School degree in Finance, Economics, or a related field.
• Minimum 3 years of compliance experience within financial services, ideally from a Management Company, Big Four, or other leading institutions.
• Strong understanding of asset and wealth management, including fund structures, operational processes, and legal frameworks.
• Familiarity with alternative investments such as Private Equity and Real Estate.
• Excellent communication skills and ability to manage multiple tasks effectively.
• Strong analytical and problem-solving capabilities.
• Fluency in English and French; additional languages are a plus.
• Compliance certification (e.g., ICA, ACAMS) is an asset.

What We Offer

As part of the Regulatory & Compliance team, you will be responsible for:

• Maintaining, updating, and executing the Compliance Monitoring Program.
• Drafting manuals of procedures and internal compliance documentation.
• Performing AML/KYC reviews of client files.
• Analyzing compliance tasks performed over the last quarter/year and assisting in the preparation of compliance reports.
• Leading or participating in the implementation of regulatory projects (e.g., MiFID II, EMIR).
• Leading or participating in due diligence exercises (initial and ongoing) on key delegates.
• Providing consulting services to internal and external stakeholders.
• Facilitating training sessions and workshops.
• Promoting a culture of compliance awareness throughout the organization.
• Supporting the broader Regulatory & Compliance department in its strategic initiatives.