Senior Compliance Manager

  • Competitive
  • Luxembourg
  • CDI, Plein-temps
  • Pictet & Cie Luxembourg
  • 15 oct. 18

To ensure compliance of management company activities carried out by Pictet Asset Management (Europe) S.A. (“The Company”) under the supervision of the Head of Compliance. Provide regulatory advice to the business as requested.

Pictet is an investment-led service company, offering wealth management, asset management and related services. We do not engage in investment banking, nor do we extend commercial loans. We are a partnership of seven owner managers and our principles of succession and transmission of ownership have remained unchanged since foundation in 1805. With more than CHF 509 billion in assets under management or custody at 31 December 2017, Pictet is today one of the leading Europe-based independent wealth and asset managers.

Headquartered in Geneva, Switzerland and founded there, Pictet today employs more than 4,200 people. It has 27 offices in: Amsterdam, Barcelona, Basel, Brussels, Dubai, Frankfurt, Geneva, Hong Kong, Lausanne, London, Luxembourg, Madrid, Milan, Montreal, Munich, Nassau, Osaka, Paris, Rome, Singapore, Stuttgart, Taipei, Tel Aviv, Tokyo, Turin, Verona and Zurich.




Mission

To ensure compliance of management company activities carried out by Pictet Asset Management (Europe) S.A. (“The Company”) under the supervision of the Head of Compliance. Provide regulatory advice to the business as requested.

Responsibilities 

  • Identify the compliance obligations as defined in the legal and regulatory provisions (internal and external) applicable to the Company using all information sources available, as well as overseeing the management of the compliance risks stemming from these activities.
  • Maintain, improve and perform the Company’s compliance monitoring  program in collaboration with the other team members.
  • Compliance oversight of delegated activities.
  • Oversee compliance risk management by reviewing existing risk mitigation measures or by developing these together with the business-line heads in cooperation with members of the Compliance team, so as to ensure a comprehensive cross-departmental approach
  • Provide prompt and proactive compliance advice to senior management and staff.
  • AML/CTF reviews and due diligences on our distribution network.
  • Periodically conduct ongoing and thematic compliance reviews.
  • Maintain, update and disseminate the Company’s compliance policies and procedures and ensure that the relevant laws and regulations are met.
  • Prepare various compliance reports including reporting to senior management and to the Board of Directors of the Company as well as the Boards of the funds.

Profile

Hard Skills

  • In-depth knowledge of the EU and Luxembourg Regulatory environment (CSSF, UCITS, MIFID, AIFM, etc.) applicable to Luxembourg management companies and fund distribution.
  • Strong grasp and knowledge of the operational processes linked to management company and distribution activities.
  • Strong knowledge and understanding of AML/CTF related laws and regulations (local and EU).
  • Experience in managing and performing compliance monitoring programme.
  • Knowledge of financial products and instruments.

Soft Skills

  • Strong organisational skills and ability to work autonomously.
  • Rigorous and excellent analytical skills.
  • Pragmatic and problem-solving driven.
  • Excellent verbal and written communication skills, written and oral (French & English).
  • Team player.
  • High professional and ethical standard.
  • Network within the Luxembourg Asset Management industry.

Education and experience required

  • At least 12  years of experience in the funds industry including 5 years of experience in a Compliance  function.
  • Master’s degree in law, finance or similar field.
  • Fluent in French and English - other languages an asset.

Note

We will not accept any CVs via agencies




Profile:

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