Junior Compliance Officer Senior Associate

hace 6 meses

Valencia, España LRI Invest A tiempo completo

Description

Junior Compliance Officer

Job description

Role summary:
We are seeking a motivated young professional with first work experience (one to two years) to join the Compliance Office of FundRock LIS S.A. to support and work on various Compliance tasks, including AML/CFT topics. You will be reporting to the Head of Compliance in Luxembourg and work together closely with the other members of the department in Luxembourg and Valencia. There will be a well-founded induction for the different tasks. The role is based in our branch in Valencia, Spain.

FundRock LIS, a leading third-party Management Company and Alternative Investment Fund Manager (AIFM) in Luxembourg with more than 100 professionals and over 200 Alternative Investment Funds (AIF) on our platform, is part of Apex Group, a global financial services provider, with over 112 offices worldwide and 13,000 employees in 38 countries.

Key responsibilities:

- Ensure compliance, together with the Compliance Team, with local and primarily Luxembourg laws and regulations as well as to the internal and group policies and procedures;
- Support the Compliance Team in a broad spectrum of day-to-day-business;
- Assist in the performance of controls in accordance with the Compliance Monitoring Plan and ad hoc controls;
- Take on tasks in the daily processing of hits as part of the AML/CFT and sanctions screening of clients, business partners and funds assets;
- Depending on qualification and after adequate training, act as an escalation point when analyzing AML/KYC for new and existing clients and investments;
- Assist in maintaining the Compliance logs, such as Conflict of Interest register, Complaints register, PEP register;
- Review the AML/CFT KPIs from transfer agents, delegated portfolio managers and support the risk assessments for the respective funds;
- Be responsible for creating Compliance KPI-reports on fund level;
- Support the preparation of the annual Compliance report, the AML/CFT risk report, the annual AML/CFT risk assessment;
- Assist in the introduction of group policies as well as the administration and updating of internal policies;
- Provide support to the Head of Compliance;
- Any other duties in the scope of the rolethat the company requires.

Skills / experience:

- Strong relevant academic background (preferably in law or economics) or a relevant working experience in the financial services industry, preferably in the fund industry or audit;
- Willingness to obtain a solid knowledge of the relevant legal and regulatory requirements of the Fund industry in Luxembourg as well as AML/CFT;
- Work self-motivated, pay attention to details, have strong organisational skills, are willing to learn, resilient, reliable and assertive;
- Strong communication and negotiation skills in English, German would be a strong asset (basic knowledge of the French language is desirable);
- You like making decisions (according to prior guidance) and working on multiple issues on a daily basis;
- Ability to prioritize tasks, like to carry out tasks on your own responsibility, but you also enjoy working in a team and with different departments;
- Discretion in dealing with confidential information is a matter of course for you;
- Confident in the use of common MS Office programs (Outlook, Word and PowerPoint). Good Excel skills would be a strong asset.

What you will get in return:

- A genuinely unique opportunity to be part of an expanding large global business;
- A welcoming, co-operative and supportive environment and an inclusive culture;
- A highly motivated and experienced team;
- Training and development opportunities;
- Given the international nature of our business and global network of offices there are opportunities to broaden your life experiences and take short-term or permanent relocation options.

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