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    • city of london, london
    • contract
    • £500 - £550 per day
    • randstad financial services
    The Luxembourg office is authorised by the Commission de Surveillance du Sector Financier as a UCITS management company and Alternative Investment Fund Manager (AIFM). The office currently acts as an AIFM to a range of open and closed-ended Luxembourg-domiciled AIFs invested in specialist sub-investment grade corporate credit strategies. The office hosts centralised distribution activities within Europe and enter into investment management agreements with clients based in the EU/EEA to provide discretionary portfolio management services sub-delegated to other parent group companies. The Firm established Branch offices in France, Germany, Italy, the Netherlands, Spain and Sweden.The Lux Compliance function is staffed by 3 individuals based in Luxembourg and benefits from support provided by the centralised Risk & Compliance functions of the parent company. This role will focus predominantly on the distribution activities of the office, including oversight of the production and review of financial promotions and oversight of the Branch offices. Depending on the candidate's experience, the role may also encompass AML/CTF responsibilities.The holder of the position will be required to deputise for the Lux Compliance Officer, as required.Key duties include;Assist in the development and maintenance of Compliance policies and procedures including the Compliance Manual which are consistent with regulatory requirements.Assist the business in developing and implementing appropriate policies and procedures, where required.Support the application and communication of global and regional corporate policies, procedures and protocols.Provide qualitative and timely advice to business partners on regulatory matters relating to Luxembourg, including the impact of proposed regulatory and/or industry developments and business initiatives on the regulatory and risk profile of the office.Key areas of focus include oversight of production and review of financial promotions and other communications issued, oversight of distribution channels including appointment of sub-distributors, regulatory requirements applicable to the office.Provide support to the design, development and execution of a risk-based compliance program to ensure that the office properly discharges its obligations under applicable laws, regulations and guidance.To work with the centralized monitoring function in the development and execution of a business-wide compliance program to facilitate monitoring of the adequacy and effectiveness of policies and procedures implemented by the business.Make an active contribution to the corporate governance framework ncluding preparation and where required, presentation of reports and/or participation in meetings of the Board and internal governance committees. Support routine and ad-hoc reporting to the CSSF, the Banque Centrale du Luxembourg, CBI and other regulatory authorities, including information requests.Provide compliance support to business initiatives/projects requiring compliance input and implementation of regulatory change.Provide training to the business on compliance matters as required.Make an active contribution to the effective governance and the EMEA distribution business through participation in internal governance committees, including the Investment Management Oversight Committee (IMOC) when required, the Risk & Compliance Committee (RCC), the Management Committee Meeting (MCM), the Board of the Funds and the Board. Provision of a Risk & Compliance report to the IMOC, RCC and Board of BNYMFM-Lux including qualitative risk and compliance management information.Provision of timely and accurate reporting to the EMEA IM corporate Risk & Compliance function in the format required.Alert management including the Conducting Officers and the Director of Risk and Compliance immediately of any significant changes to business risks and/or internal control effectiveness.Report any potential or actual material regulatory breaches to the Conducting Officers, the Board of Directors and the Director of Risk & Compliance immediately upon discovery.Participate in centralised initiatives across the Risk & Compliance organisation, to ensure consistency of approach across business lines and appropriate knowledge-exchange.Contribute to the maintenance and testing of an effective business continuity plan to ensure an appropriate response to any disruption to business operations. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
    The Luxembourg office is authorised by the Commission de Surveillance du Sector Financier as a UCITS management company and Alternative Investment Fund Manager (AIFM). The office currently acts as an AIFM to a range of open and closed-ended Luxembourg-domiciled AIFs invested in specialist sub-investment grade corporate credit strategies. The office hosts centralised distribution activities within Europe and enter into investment management agreements with clients based in the EU/EEA to provide discretionary portfolio management services sub-delegated to other parent group companies. The Firm established Branch offices in France, Germany, Italy, the Netherlands, Spain and Sweden.The Lux Compliance function is staffed by 3 individuals based in Luxembourg and benefits from support provided by the centralised Risk & Compliance functions of the parent company. This role will focus predominantly on the distribution activities of the office, including oversight of the production and review of financial promotions and oversight of the Branch offices. Depending on the candidate's experience, the role may also encompass AML/CTF responsibilities.The holder of the position will be required to deputise for the Lux Compliance Officer, as required.Key duties include;Assist in the development and maintenance of Compliance policies and procedures including the Compliance Manual which are consistent with regulatory requirements.Assist the business in developing and implementing appropriate policies and procedures, where required.Support the application and communication of global and regional corporate policies, procedures and protocols.Provide qualitative and timely advice to business partners on regulatory matters relating to Luxembourg, including the impact of proposed regulatory and/or industry developments and business initiatives on the regulatory and risk profile of the office.Key areas of focus include oversight of production and review of financial promotions and other communications issued, oversight of distribution channels including appointment of sub-distributors, regulatory requirements applicable to the office.Provide support to the design, development and execution of a risk-based compliance program to ensure that the office properly discharges its obligations under applicable laws, regulations and guidance.To work with the centralized monitoring function in the development and execution of a business-wide compliance program to facilitate monitoring of the adequacy and effectiveness of policies and procedures implemented by the business.Make an active contribution to the corporate governance framework ncluding preparation and where required, presentation of reports and/or participation in meetings of the Board and internal governance committees. Support routine and ad-hoc reporting to the CSSF, the Banque Centrale du Luxembourg, CBI and other regulatory authorities, including information requests.Provide compliance support to business initiatives/projects requiring compliance input and implementation of regulatory change.Provide training to the business on compliance matters as required.Make an active contribution to the effective governance and the EMEA distribution business through participation in internal governance committees, including the Investment Management Oversight Committee (IMOC) when required, the Risk & Compliance Committee (RCC), the Management Committee Meeting (MCM), the Board of the Funds and the Board. Provision of a Risk & Compliance report to the IMOC, RCC and Board of BNYMFM-Lux including qualitative risk and compliance management information.Provision of timely and accurate reporting to the EMEA IM corporate Risk & Compliance function in the format required.Alert management including the Conducting Officers and the Director of Risk and Compliance immediately of any significant changes to business risks and/or internal control effectiveness.Report any potential or actual material regulatory breaches to the Conducting Officers, the Board of Directors and the Director of Risk & Compliance immediately upon discovery.Participate in centralised initiatives across the Risk & Compliance organisation, to ensure consistency of approach across business lines and appropriate knowledge-exchange.Contribute to the maintenance and testing of an effective business continuity plan to ensure an appropriate response to any disruption to business operations. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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