Job Description
The Compliance Officer assists the Head of Business Compliance in his missions of ensuring compliance of CACEIS with regulatory requirements.
Its main missions are as follows:
Provide opinions on new products, requests from the Business, key projects and regulatory issues
Perform impact assessments on CACEIS business in the context of the regulatory watch, ensure the MIFID II requirements are complied with, identify potential compliance risks and improve controls as per the control plan
Focus on transaction reporting matters, MIFID II rules relating to investment services, crypto-assets
Respond to requests from internal and external auditors and requests from regulators
Follow up on the recommendations from the internal audit and the CSSF
Contribute to reporting to the Management.
Proven experience on regulatory compliance
Knowledge of banks and fund industry
Advanced degree in finance or banking/finance law...
Its main missions are as follows:
Provide opinions on new products, requests from the Business, key projects and regulatory issues
Perform impact assessments on CACEIS business in the context of the regulatory watch, ensure the MIFID II requirements are complied with, identify potential compliance risks and improve controls as per the control plan
Focus on transaction reporting matters, MIFID II rules relating to investment services, crypto-assets
Respond to requests from internal and external auditors and requests from regulators
Follow up on the recommendations from the internal audit and the CSSF
Contribute to reporting to the Management.
Proven experience on regulatory compliance
Knowledge of banks and fund industry
Advanced degree in finance or banking/finance law...