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Head of Legal & Compliance (Ref.LCL400) – 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 by clicking on the below APPLY button.

Alternatively you can send us your profile to financejobs@falkerin.lu. Please make sure to include job Reference#.

Work place: Luxembourg
Ref.LCL400

Responsibilities:

  • Responsibility for reviewing contractual agreements
  • Review of fund documents to ensure that they are compliant with the regulatory requirements
  • Notification to the regulator for the AIFM/EUVECA/UCITS passports
  • Maintenance of the passport required documentation
  • Eligibility checks for EUVECA
  • Communication of marketing material for EUVECA distribution
  • Organization of the board meetings – acting as secretary
  • Organization of the ExCo and CO meetings
  • Acting as Compliance Officer
  • Identify and assess all compliance risks that the company is exposed to
  • Advise the Board on changes to Law and regulation and how they will impact the Company
  • Maintain the Companies manual of procedures, company compliance charter and policy
  • Develop and execute the company’s compliance monitoring program
  • Ensure that all staff are trained on compliance matters, AML/CFT
  • Liaise with the relevant authorities including, but not limited to, the CSSF and the FIU
  • Compliance – fund specific
  • Organization of the Acceptance Committee
  • Initial and ongoing due diligence on contractual counterparts and delegates
  • Preparation of the due diligence report
  • Reporting to the CO, Exco and Board
  • AML/KYC on counterparts
  • AML/KYC on investments

Requirements:

  • University degree in Law, or Finance, Business Administration, Economics or similar professional qualification
  • Legal qualification
  • Compliance qualification commensurate with seniority of role
  • At least 15 years’ experience within the finance industry, with a strong economic background
  • At least 10 years’ experience in a management company
  • At least 7 years’ experience in a senior legal &compliance role
  • Experience of UCITS and/or Alternative Investment Funds
  • A minimum of 5 years’ experience of managing a team
  • Comprehensive knowledge and understanding of the Fund Industry
  • Excellent knowledge and understanding of AML and KYC requirements
  • Ability to review and/or prepare comprehensive reports including board minutes
  • Good knowledge of Microsoft Office
  • Excellent proficiency in English language, both written and spoken
  • Good working knowledge of French language. Other language skills an advantage
  • Persuading and influencing skills
  • Decision making with conflicting and demanding deadlines
  • Ability to communicate effectively on matters at Board level
  • Ability to write high quality reports
  • Adaptable and versatile
  • Discrete and tactful
  • Emotional resilience
  • ‘Can do’ and hands on attitude combined with the ability to work independently
  • Role model demonstrating appropriate office conduct and attitude to work
  • Pragmatic
  • Strong commitment to client service excellence
  • Proactive and disciplined approach to work
  • Progressive and takes responsibility for self-development and that of others
  • Results driven
  • Solutions driven so as to support business

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