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A Global Asset Manager is Looking for a Head of Compliance, Conducting officer to join their growing team. You will need to implement policies, processes and systems for the operation of the Firm in compliance with CSSF rules generally and in respect of the following areas: Maintain the Handbook of Policies and Procedures and investigate and ensure a timely and effective response to Customer Complaints and breaches.
Your main responsibilities will include:
Conduct monitoring and oversight of monitoring in accordance with the Company's monitoring plan.
Monitor and ensure timely compliance with the regulatory reporting calendar.
Conduct AML/CFT risk assessments.
Maintain the Company's regulatory records including CSSF correspondence and reporting, compliance projects, maintaining the gifts log and personal account dealing log.
Providing the Board of the Firm with regulatory updates.
Update staff on regulatory changes.
Maintaining a compliance training calendar and train staff.
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