The Senior Compliance Officer reports directly to Chief Compliance Officer. (S)He ensures with the team that Luxembourg business adheres to internal controls and procedures, and that appropriate compliance-related management information is produced and reviewed at appropriate intervals.
Ongoing review of policies and procedures in line with corporate and local legislative requirements;
Regulatory reporting (AML, Internal control, MiFID) and SAR;
Participate in training programmers, course development and presentation;
Risk based Compliance testing
Attendance to Compliance Committees
Steer and project lead the regulatory change process
Account opening final evaluation
Project Management on regulatory implementation processes
Training of new joiners and roll out of training sessions
Regulatory review and internal publishing of new rules and regulations (News Letter Management)
Management of trade related control of MiFID and Market abuse.