Compliance Team Lead - Investment Monitoring

  • Posted: 10/06/2024
  • Salary: -
  • Location: Luxembourg, District de Luxembourg, Luxembourg
  • Job Type: Permanent/Fixed Term

Compliance Officer – Investment Monitoring

Overview: As a Compliance Officer – Investment Monitoring, you will report to the responsible Compliance Officer in Luxembourg and be part of the compliance team.


  • Serve as a central reference for investment controlling.
  • Participate in fund launch discussions and ensure compliance of prospectuses and agreements.
  • Code investment rules in Bloomberg AIM (pre- and post-trade).
  • Manage relationships with external portfolio managers and depositaries.
  • Identify and escalate non-compliance issues.
  • Report and follow up on investment breaches.
  • Stay updated on regulatory developments and maintain compliance systems.
  • Provide training on investment restrictions and regulatory changes.
  • Assess complex products and conduct due diligence on external providers.
  • Participate in compliance projects and respond to CSSF and auditor requests.
  • Degree in Economics, Finance, or Law.
  • 5+ years’ experience in investment restrictions monitoring.
  • Knowledge of UCITS, AIFMD, CESR/ESMA guidelines; Swiss/French regulations is a plus.
  • Proficiency in English and/or French; German is an advantage.
  • Skilled in MS Office and Bloomberg; coding in Bloomberg AIM is a plus.
  • Strong analytical, organizational, and communication skills.
  • Ability to work independently and in a team.
Anis Soomaroo Consultant

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