Internal Control Officer F/M

Our client is one of Europe’s most prestigious asset managers. With capital entirely owned by its founders and staff, they operate in 7 different offices.
They are actively committed to their clients and are transparent in their investment decisions.

As Internal Control Officer (F/M), you will be part of the Group Compliance team and will report to the Conducting Officer in Luxembourg as well as the Global Head of Compliance based in Paris.

You will participate alongside another Internal Control Officer based in Luxembourg to the independent evaluation of the Group operations, coordinating controls and ensuring strict adherence to the company’s internal policies and procedures as well as regulatory and statutory requirements.

Responsibilities:
 

• Compliance Risk Assessment: Support the preparation and maintenance of the Group Compliance Risk Assessment, taking into consideration the specific requirements of local entities.
• Monitoring and Compliance: Monitor compliance with internal standards, as well as applicable laws and regulations (CSSF, AMF, and FCA) using a risk-based approach.
• Compliance Monitoring Program (CMP): Assist in preparing a comprehensive CMP based on the Compliance Risk Assessment and execute it, providing timely and accurate written reports to relevant Governance Committees.
• Operational Reviews: Conduct reviews of internal operational departments as well as key external service providers.
• Issue Resolution: Track and confirm the appropriate resolution and completion of actions arising from the execution of the CMP.
• IT Automation: Utilize IT processes to automate regulatory and risk monitoring activities.
• Market Sounding and Market Abuse Monitoring: Support the coordination of the Market Sounding framework and the ongoing execution of Market Abuse Monitoring.
• Collaboration with Control Functions: Liaise with other control functions, such as Risk and Internal Audit, to maximize the efficiency of independent assurance function reviews performed across the business.
• Regulatory Awareness: Stay up to date with all regulatory developments and assess their implications for the business, recommending changes to the Compliance Risk Assessment and CMP as necessary.
• Internal Control Policies: Develop and promote Internal Control policies and standards across the Group.
• Training and Awareness: Be responsible for maintaining an adequate level of awareness on Internal Control matters across the Group through training and awareness sessions.

 
Qualifications:
 

• Experience: At least 4 years of experience in a similar position within the financial services industry, with experience in an asset manager being a plus.
• Regulatory Knowledge: Strong regulatory background with knowledge of UCITS, AIFM, MiFID, and Market Abuse Directives.
• Autonomous: Ability to act autonomously within the field of expertise.
• Language Skills: Excellent written and verbal communication skills in both English and French.
• Proactive and Solution-Oriented: Proactive approach with the ability to anticipate potential issues and define accurate recommendations accordingly.
• Interpersonal Skills: Strong interpersonal skills with the ability to build good relationships with multiple contributors at different levels of the company.

 

If you believe that your profile matches our clients expectations do not hesitate to send your application. It will stay confidential.