Compliance Senior Manager

Role summary

A key member of the Luxembourg compliance team, and reporting into the Compliance Conducting Officer, this compliance senior manager role is a newly created new role that will be responsible for supporting Capital’s plans to launch alternative funds. In-depth knowledge of AIFMD, as well as UCITS, as implemented in Luxembourg and applied by the CSSF is essential, as is familiarity with various fund structures, including Part II UCI funds.

Every person within the European L&C team is responsible for legal, regulatory, and compliance work and is expected to work with other associates across multiple jurisdictions. The precise requirements of the role will develop over time in response to the changing needs of the business, however, we would expect the successful candidate to have the following main responsibilities:

Primary responsibilities/essential functions

• Ensuring that the appropriate policies and procedures are implemented and periodically reviewed and are working efficiently to ensure compliance with applicable legislation, regulations and group document.
• Providing advice and assisting the conducting officers on the regulatory implications of actual and new regulations and changes to the business.
• Providing advice in relation to AIFMD and UCITS.
• Preparing, and presenting compliance reports to management, board and authorities.
• Raising staff’s awareness to comply with AIFMD rules and regulations.
• Overseeing licensing requirements and regulatory obligations (including reporting, applying for new business products, etc.).
• Serving as a point of contact for regulatory compliance matters, which includes building and maintaining strong relationships with the CSSF and other regulatory agencies.
• Assessing new product related regulations, laws and trends and their applicability and implementation to CG funds.
• Researching, analyzing, and communicating on the requirements pertaining to the promotion of alternative funds in various jurisdictions in support of business objectives and marketing activities. Working on projects with relevant operational and business teams, including new fund launches and other funds related projects.
• Assisting other team members to support the need of internal business departments with responses to queries or troubleshooting issues.
• Assisting on interactions with attorneys, external counsel, and regulators on various issues with a focus on proposing and implementing changes or enhancements to business processes.
• Establishing and developing external networks with industry associations and with regulatory authorities to gather intelligence and advise the business of relevant developments.
• Managing, coaching and supervising the performance and development of other associates within the team.
• Deputizing for the Compliance Conducting Officer.
• Performs additional responsibilities as assigned.

Skills/qualifications

• Excellent relationship and influencing skills with the ability to remain impartial and independent in your views.
• A curious and enquiring mindset, willing to listen to the perspectives of others. Will seek to uncover real and important differences of opinion. Will challenge the status quo.
• Good understanding and experience of the European and Global investment management regulatory environment.
• Creates high standards of excellence and set an example for others to follow.
• Brings energy and enthusiasm to the environment.
• Strong commitment to quality, accuracy and attention to detail.
• Effective written and oral communications skills with team members and managers.
• Ability to prioritize work and complete in a timely manner.
• Collaborate with other members of the Company’s Legal & Compliance team on broader requirements and projects, supporting various compliance initiatives across the firm.
• Ability to adapt to the needs of a growing business.
• Ability to maintain a high level of confidentiality and integrity.
• Ability to utilize technology to enhance and automate, refine, and streamline processes.

Core requirements:

• Degree / 10+ years of asset management experience.
• Able to speak, draft and work in English; second language a preference.

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

‎ 

 ‎ 

 ‎

 ‎

In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

You can learn more about our compensation and benefits here.

* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.