Position Description

Senior Compliance Officer (M/F)
Location Luxembourg
Job Code 5877
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As part of the team, the Senior Compliance Officer reports directly to the Chief Compliance Officer and his main tasks are to contribute to the following:

 

  • Overall risk-based compliance monitoring program for the Luxembourg entity and its existing branches, through the controls implemented locally in accordance with CSSF and by UBP Group;
  • Implementation and follow-up of controls necessary to execute the annual Compliance monitoring plan, including MiFID and AML/CTF, defined and approved by the 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 Chart;
  • Analysing the deficiencies, determining whether they relate to the systems or individual issues and making recommendations to improve the organization;
  • Onboarding of new clients and contribute to review/update of the existing ones;
  • Preparation and management of the various committees in place (Account Opening Committee, Anti-Money Laundering Committee, Increased Risk / PEP Committee…);
  • Recommendations to Front-office and/or other staff, particularly with regard to AML/CFT (the accounts opening, funds accepting, clarifying the economic background of an operation…);
  • Performing controls and providing recommendations with regard to MiFID and/or the execution of market transactions in accordance with internal and external directives, professional code of ethics, rules of conduct and other legal and market requirements in these matters;
  • Providing regular reports to the Chief Compliance Officer;
  • Regular training of employees in areas related to Compliance;
  • Performing analysis, impact assessment and follow-up of regulatory developments;
  • Maintaining and updating the Compliance Charter and Policy and the Staff Regulations according to developments in the bank's activities, the legislative framework and/or requests from the Board of Directors.
Education:
Master Degree
Technical skills:
Strong knowledge of regulatory environment in Luxembourg, especially applicable to the banking secto
Years of experience:
7-10 : senior
Exper. in financial sector:
Mandatory
Experience required:
At least 7 years of professional experience in a Compliance Function within the financial sector, ideally with exposure to Private Banking.
Local resident (Swiss):
Optional
Language 1:
English
Level 1:
Fluent
Language 2:
French
Level 2:
Fluent
Language 3:
Level 3:
Personal skills:
- Strong knowledge of regulatory environment in Luxembourg, especially applicable to the banking sector. - Good knowledge of financial products and markets, as well as financial analysis tools. - Strong analytical skills, responsiveness, problem-solving and organization skills. - Excellent interpersonal skills and natural ability to communicate and negotiate with interlocutors at all levels of the hierarchy. - Dynamic personality, accustomed to working in a team or independently.
Challenges:
You will join a dynamic team that works in a fast growth environment among which you are entitled to ensure that all compliance risks are covered.
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