Financial Planning and Analysis

• Support the Compliance Officer in charge of the Compliance function in implementing and maintaining a robust Compliance Monitoring Programme.
• Perform second-line of-defense controls, highlight weaknesses, and issue recommendations.
• Identify, assess, and mitigate compliance risks associated with existing and new investment products, including the risks presented by crypto-assets.
• Monitor changes in laws and regulations and advise the Authorised Management and the Product teams on business impacts.
• Contribute to the regulatory strategy and support future license extension processes.
• Assist in drafting, updating, and maintaining compliance policies.
• Support in timely and accurate regulatory reporting, including the CSSF annual questionnaire on financial crime.
• Support interactions with regulators on matters related to investment services, inspections, and audits.
• Assist in developing and help deliver compliance training programs for employees.
• Support in drafting regular reports on Compliance matters to the Authorised Management and Board of Directors.

Compliance Officer – Investment Products

Investment Implementation Services Specialist