Investment Compliance Officer
Indefinido
Luxembourg
Salario: No especificado
Unos días en casa
Preguntas y respuestas sobre esta oferta
El puesto
Descripción del puesto
- Conduct MiFID reviews as part of the overall compliance monitoring programme
- Cooperate with the CCO in the analysis and handling of investment compliance matters
- Respond swiftly and effectively to investment compliance issues
- Carry out second-line reviews of the investment product universe
- Carry out regular reviews of order handling and market transactions
- Handling of market abuse alerts
- Preparation of Suspicious Transaction and Order Reports for the CSSF
- Best execution trade monitoring
- Assistance in the control of regulatory reporting, e.g., MiFIR/EMIR
- Initiate internal investigations with a degree of effective autonomy
- Draft reports on the status of investment compliance within the Bank
Requisitos
- Fluent in both written and spoken English. French or German considered as being a significant advantage
- Minimum of five years’ experience in the Luxembourg financial sector
- Understanding of MiFID rules and how they impact an EU credit institution or regulated investment firm
- Sound understanding of financial markets, inc. complex products
- Knowledge of regulatory environment for investor protection, inc. PRIIPs Regulation
- Understanding account opening and maintenance requirements, including corporate and complex structures
- Ability to work autonomously and with independence to ensure controls objectivity
- Ability to challenge, improve and document processes and procedures
- Strong communication skills (both verbal and written) to provide feedback/coaching and technical awareness across teams
- Ability to identify issue root causes and recommend changes to procedures to protect the Bank’s reputation, optimise business efficiency
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