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Head of Legal & Compliance / CDD Contract – (Ref.# LCL333) – OPEN

Falkerin™ Recruitment specializes in Legal & Compliance, Accountancy & Finance as well as Banking and Operational Services recruitment. We are also often mandated to assist in recruiting for Business Support roles such as HR, Personal Assistant, Receptionist or Administrative Officer positions. We work with leading financial institutions in Luxembourg. Our clients’ portfolio include major Service Providers, leading Fiduciaries, Management Companies, Real Estate Investments and global Private Equity Houses.

Please see below job description and if you believe you have relevant experience and would like to be considered for the post please send us your CV in English directly to legaljobs@falkerin.lu or by clicking on the below APPLY button. Please make sure to include Reference# of the position in question.

If the role is not in-line with your expectations but you would like to receive professional advice regarding your career, Luxembourg labour market or more information about other current job opportunities please contact us either by using one of the two electronic forms available on this website or by calling our Luxembourg office at: +352 27 32 4000. 

Work place: Luxembourg
(Ref.# LCL333)

Responsibilities:

  • University degree in Law or educational qualification in Law, compliance qualification commensurate with seniority of role
  • At least 12 years’ professional experience in the financial sector with strong economic background
  • At least 10 years’ experience in a management company
  • At least 7 years’ experience in a senior legal & compliance role and management experience
  • Experience of UCITS and/or Alternative Investment Funds
  • Comprehensive understanding and knowledge of the fund industry, European and Luxembourg fund regulation (UCITS, AIFs incl RAIFs, EuVECAs) and corporate law
  • Excellent knowledge and understanding of AML and KYC requirements
  • Ability to draft and/or review comprehensive reports including board reports, compliance and AML reports
  • IT skills (MS Office, Excel, Sharepoint, etc.)
  • Proficiency in English written and spoken
  • Any other European language would be an asset
  • Persuading and influencing skills
  • Decision making with conflicting and demanding deadlines
  • Ability to communicate effectively on matters at Board level, oversee internal projects and write high quality reports
  • Ability to work in a diverse work environment
  • Integrity, discrete, tactful, adaptable, versatile
  • Hands-on mentality, pragmatic with technical excellence
  • Role model with appropriate conduct and attitude to work
  • Strong commitment to client service excellence
  • Proactive and disciplined approach to work
  • Solution driven to guide and support business

Requirements:

  • Responsibility for reviewing contractual agreements with delegates and ensuring that the Company’s legal risk is covered
  • Review of fund documents to ensure that they are compliant with the regulatory requirements
  • Ensure legal support to the management company and related holding companies
  • Guide and perform on legal researches
  • Ensure maintenance of legal logs and draft/update of legal work instructions
  • Marketing notifications and EuVECA eligibility checks
  • Responsibility for the ongoing marketing notifications under the UCITS and AIFM passport to the regulator
  • Responsibility for performance of investor on-boarding and eligibility checks for EuVECAs
  • Ensure maintenance of marketing logs and draft/update of marketing work instructions
  • Identify and assess all compliance and operational risks that the company is exposed to
  • Advise the Board and the Exco on changes to Law and regulation and how they will impact the Company
  • Maintain the Companies manual of procedures, including the company compliance charter and policy
  • Develop, execute and follow-up on the company’s compliance monitoring program
  • Ensure that all staff are trained on compliance and AML/CFT matters
  • Liaise with the relevant authorities including, but not limited to, the CSSF and the FIU
  • Draft reports on compliance matters to the board, ExCo, CSSF
  • Responsibility for the due diligences, daily screening, organization of acceptance committee
  • Drafting reports and minutes
  • Group Risk and Compliance
  • Ensure group risk and compliance policies and procedures are properly implemented in Luxembourg

Apply