Conducting Compliance - Third party manco

at  Austin Bright

Are you ready to play a pivotal role in shaping the landscape of investment management services?
Our partner, a new third-party Management Company based in Luxembourg, is seeking a visionary Conducting Officer in Compliance to help lay the foundations and lead the compliance framework of our dynamic organization. This is a unique opportunity to become a central figure in the establishment and growth of the company’s ManCo, directly influencing their strategic direction and operational excellence.
The Conducting Officer - Compliance will be responsible for overseeing the regulatory and compliance functions within the company, ensuring adherence to all applicable laws, regulations, and guidelines. This role is critical in upholding their reputation and integrity in the market by maintaining high standards of compliance.

Key Responsibilities:

• Develop, implement, and maintain effective compliance policies and procedures.
• Monitor and assess compliance with all relevant regulatory requirements, including AIFMD and UCITS directives.
• Act as a primary contact with the Luxembourg regulatory authorities and other stakeholders.
• Ensure the preparation and submission of periodic compliance reports to regulatory bodies.
• Oversee the training and development of staff on compliance matters and ethical conduct.
• Conduct regular internal reviews and audits to ensure compliance.
• Manage and mitigate risk by identifying potential areas of compliance vulnerability and risk; develop/implement corrective action plans.
• Stay abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.

Qualifications:

• Proven experience as a Conducting Officer in Compliance or similar role within a Management Company. ( minimum 6 years of experience )
• Deep understanding of the regulatory environment in Luxembourg, specifically AIFMD and UCITS.
• Strong knowledge of compliance systems and frameworks.
• Excellent communication and interpersonal skills, with the ability to engage effectively with regulators, senior management, and staff at all levels.
• Bachelor’s or Master’s degree in Law, Finance, Business Administration or a related field.
• Professional qualifications in compliance (e.g., CAMS, ICA Diploma) would be an advantage.
• Ability to handle multiple tasks and work under pressure.
• Fluent in English; proficiency in French or German would be beneficial.

Offer:

• Competitive salary and benefits package.
• Opportunity to work in a dynamic, fast-growing environment.
• Professional growth and development opportunities.

• Develop, implement, and maintain effective compliance policies and procedures.
• Monitor and assess compliance with all relevant regulatory requirements, including AIFMD and UCITS directives.
• Act as a primary contact with the Luxembourg regulatory authorities and other stakeholders.
• Ensure the preparation and submission of periodic compliance reports to regulatory bodies.
• Oversee the training and development of staff on compliance matters and ethical conduct.
• Conduct regular internal reviews and audits to ensure compliance.
• Manage and mitigate risk by identifying potential areas of compliance vulnerability and risk; develop/implement corrective action plans.
• Stay abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control