Senior Compliance Officer

Company Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities.

Job Description

The overall goal of the Compliance function is to support the successful execution of IQ-EQ`s business strategy through the delivery of an integrated risk and compliance culture and programme; whilst protecting IQ-EQ`s brand and reputation. Compliance aims to support the Board of Directors and Senior Management to fulfil their statutory and regulatory obligations, by helping to ensure compliance with the laws, regulations, principles and codes established by the regulator.

What you'll do:

• To assist in the onboarding processes, including the issuance of compliance advice and risk assessment.  
• Client maintenance and business events ongoing due diligence controls 
• Performing periodical client file reviews as second line of defense 
• Performing Investors’ file reviews as second line of defense 
• Support the second line of defense - escalation point for KYCTA team with regards to investors review 
• Preparation and filing of SAR/STR 
• Preparation of AML letters  
• Internal and external audit support and follow-up for Depositary 
• Emphasizing and strengthening the first line of defense culture in day-to-day activities 
• Promoting and supporting an effective Compliance culture within the company 
• Process regular screening and maintenance of the client database against blacklist, press, international sanctions, and escalate when relevant  
• Undertake compliance projects and ad hoc additional tasks as assigned by the manager  

Qualifications

• You hold a Master's or Bachelor's degree in Law, Finance, or an equivalent discipline.
• You bring 3 to 5 years of professional experience in a Compliance Officer role.
• You are proficient in MS Office.
• You are fluent in English; additional language skills would be considered an asset
• Good knowledge of AML & KYC for investment funds and other type of structures as well as a great understanding of the Luxembourg fund’s regulatory and legal framework. 

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment. 

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success lead to our sustainability and success. We’re emotionally invested in our clients right from the beginning.