Position Description

Compliance Officer (M/F)
Location Luxembourg
Job Code 9063
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  • Overall risk-based compliance monitoring program for the Luxembourg entity and its existing branches, through the controls implemented locally in accordance with CSSF and UBP Group;
  • Implementation and follow-up of necessary controls to execute the annual compliance monitoring plan defined and approved by UBP's management (planning, execution, documentation, reporting of findings and control of the implementation of corrective measures), by conducting in an independent manner a priori and a posteriori internal control missions and more particularly regarding the Front-office;
  • Centralisation of Compliance issues in accordance with the Compliance Policy and Charter;
  • Analysing the deficiencies, determining whether they relate to the systems or individual issues and making recommendations to improve the organization;
  • Performing controls and providing recommendations, as a matter expert with regard to MIFD/ESG/SFDR, and/or related to the execution of market transactions in accordance with internal and external directives, professional code of ethics, rules of conduct and other legal market requirements in these matters. 
Education:
Master Degree
Technical skills:
Strong knowledge of regulatory environment in Luxembourg, especially applicable to banking sector
Years of experience:
3-7 : intermediate
Exper. in financial sector:
Mandatory
Experience required:
MiFID, ESG, SFDR
Local resident (Swiss):
N/A
Language 1:
English
Level 1:
Fluent
Language 2:
French
Level 2:
Fluent
Language 3:
Level 3:
Personal skills:
  • Solid knowledge of regulatory environment in Luxembourg (especially in private banking). Good knowledge of financial products and markets.
  • Deep analytical skills, responsiveness and problem-solving attitude.
  • Excellent interpersonal skills with natural ability to communicate with interlocutors at all levels of hierarchy.
  • Dynamic personality, accustomed to work either as a team than autonomously.
    • Challenges:
    You will join a top dynamic team that works in a fast changing and complex environment among which you are entitled to identify, assess, advise and report any compliance risk arising from areas as MiFID, ESG & SFDR.
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