Position : Senior Fund Compliance Officer
Office : Luxembourg
Start date :
Working hours : 100%
Field : AM
With more than 200 people, AM has built an on-the-ground presence in the world's major markets through organic growth and selected partnerships. We offer a select range of actively managed strategies in both the long-only and alternative spaces, with complete independence for portfolio managers. We focus on strategic niche such as absolute return fixed income, emerging markets, convertibles, selected equity strategies and alternative investments. Most of our strategies are managed in-house and external portfolio managers are selected only when they show unmatchable long-term qualities. We serve the whole spectrum of both local and global including sovereign wealth funds, endowment funds, pension funds, insurance companies, banks, central banks, family offices and distributors.
UBP Asset Management (Europe) S.A. (“UBP AM”) is a subsidiary of UBP, S.A., and is the asset-management company of the Group in Luxembourg since 2013.
Perform, under the supervision of both the Head of Risk Management and Fund Compliance and the Conducting Officer in charge, fund compliance analysis, monitoring and reporting activities for the Manco’s UCITS and AIF funds to the senior management / Board of Directors of UBP Asset Management (Europe) S.A., Luxemburg.
- Managing the compliance review related to a broad range of fund structures (e.g.: UCITS; AIF) ;
- Assessing active and passive breaches and CSSF reporting pursuant to Circular 02/77 ;
- Participating in the analysis and implementation of new investment funds ;
- Performing eligibility assessment towards UCITS/AIF’s funds prerequisites ;
- Preparing related reports and statistics ;
- Acting as a point of escalation for Portfolio Managers, Senior Management, Board of Directors, internal and external auditors with regards to investment restrictions and regulatory compliance issues ;
- Analysing the potential impact of new laws, regulations and or group policies ;
- Participating in the implementation or updating of procedures ;
- Monitoring and checking for adherence to established procedures ;
- Providing advice / support on fund compliance issues ;
- Providing support to the Head of Risk Management and Fund Compliance on risk monitoring and reporting activities
For this position you possess a strong understanding of the Luxembourg fund industry regulatory environment, with significant exposure to UCITS, AIFs structures as well as to complex structured products and sound knowledge of the investment fund industry, financial products and financial markets.
Education and Experience:
University Degree, Bachelor or Master Degree in Finance, Economics or Law.
At least 8-years' relevant experience with significant exposure to investment restriction monitoring, fund compliance, and regulatory activities associated with the provision of fund administration services.
Language and IT Skills:
Fluent in English
French mother tongue
Advanced user in Excel VBA, Access, Bloomberg
Ability to effectively communicate technically complex issues, both written and verbal, to internal and external audiences ;
Ability to work in team as well as independently, to plan and organise workload to meet deadlines ;
Analytical, outstanding organisational and communication skills
Recruiting agencies are not required for this role.
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This online recruitment system (hereinafter, ‘e-Recruitment Portal’ or ‘Portal’) is used by the Geneva headquarters of Union Bancaire Privée, UBP SA (hereinafter, ‘UBP’) in accordance with Swiss law, in particular with regard to data protection, and with the principles below. The e-Recruitment Portal allows any person (hereinafter, ‘Applicant’), excluding recruitment consultants and headhunters, to submit either an application for a vacancy listed on the Portal or an unsolicited application.
UBP guarantees the confidential handling of any personal data received via the e-Recruitment Portal, such as names, addresses and other information relating to the Applicant’s identity and professional history (hereinafter, ‘Personal Data’). The Personal Data are securely saved and stored in-house and can be accessed only by those people dealing with the application.
In sending their Personal Data via the e-Recruitment Portal, the Applicant accepts the inherent risks of transmitting data over the Internet, which cannot guarantee the data’s absolute protection and security. In sending their Personal Data to us, the Applicant consents to the use of this data by UBP and/or any affiliate of UBP Group (hereinafter, ‘UBP Group’) as part of the recruitment process, in particular by the human resources departments involved in assessing and following up the application. Should the vacant position be located outside Switzerland or should the Applicant’s profile be of interest to one of UBP Group’s entities abroad, the Applicant agrees in advance that their Personal Data may be transmitted to the entity in question. Moreover, they accept that the law applicable to that entity may not offer legal safeguards equivalent to those of Swiss law, as regards data protection and employees’ rights.
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If the Applicant applies through a recruitment agency or headhunter, as well as via the e-Recruitment Portal, only the application that UBP receives first will be considered. Lastly, the Applicant is reminded that, under Swiss law, they have the right to access data concerning them, as well as the right to correct any inaccurate information that they may have submitted. To do so, the Applicant should contact UBP via the e-Recruitment Portal, clearly stating the subject of the request. The Applicant’s file will be kept as long as it is being processed by the departments concerned within UBP Group. The original documents will then be returned to the Applicant and the copies destroyed, unless the Applicant consents to their being kept on file.
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