Senior Compliance Officer

Ubicación: Luxembourg (Luxemburgo)
Sector: Banca, seguros y finanzas
Vacantes: 1
Modalidad de trabajo: Híbrida

CAIXABANK ASSET MANAGEMENT

CaixaBank Asset Management es la gestora del Grupo CaixaBank , líder en la gestión de fondos de inversión por patrimonio y partícipes. Fundada en 1985, CaixaBank AM está presente además de en España, en Portugal a través de BPI Gestão de Activos y Luxemburgo a través de CaixaBank AM Luxembourg, operando en 5 sedes: Madrid, Barcelona, Lisboa, Oporto y Luxemburgo. La actuación estratégica de CaixaBank Asset Management se sustenta en sus valores y convicciones, característicos del grupo CaixaBank: “la creación de valor para el cliente, cercanía, transparencia, flexibilidad, eficiencia, responsabilidad y seguridad”. En esta línea, CaixaBank Asset Management está adherida a los Principios de Inversión Responsable de Naciones Unidas (UNPRI), integrando en la gestión de las inversiones los aspectos sociales, ambientales y de buen gobierno que establece Naciones Unidas y que compartimos desde el principio, desde nuestro origen.

En Grupo CaixaBank, valoramos la diversidad y la igualdad como cualidades fundamentales de nuestra cultura, y contribuimos activamente al desarrollo del talento de todas las personas; independientemente del sexo, religión, etnia, orientación sexual, origen nacional, edad, estado civil, identidad, género o expresión de género. Esto se refleja en nuestras redes de trabajo, formadas por equipos transversales y cercanos, donde fomentamos la inclusión y compartimos el mismo compromiso por la diversidad.

Si necesitas asistencia y/o una adaptación razonable debido a una discapacidad durante la solicitud o el proceso de contratación, especifíquelo y te ayudaremos.

Descripción de la oferta

The ManCo is owned by CaixaBank Asset Management SGIIC S.A., the first management company on the Spanish market, and forms part of the CaixaBank Group, which is part of the top 5 banks in Spain from market share perspective, and top 10 in the Eurozone from market capitalization perspective. In the context of its local development in Luxembourg, the ManCo is looking to recruit a Senior Compliance Officer to join the CABK AM Lux team, reporting into the Chief Compliance Officer of the ManCo.

The Senior Compliance Officer will work on a multitude of compliance matters, within the Compliance function, in relation to the below topics:

- Identification of the compliance risks and related standards to which CABK AM LUX is exposed in the exercise of its activities, assessment of their significance, their possible
consequences, and development of a subsequent compliance control plan;
- Identification and assessment of the compliance risk of new activities, products or business relationships, and participation to Luxembourg New Business Committees;
- Provision of rules and guidelines to the staff from different functions and operating units to facilitate the implementation of the manual of policies and procedures of the ManCo;
- Acting as second line of defense in relation to areas such as, but not limited to:

the fight against money laundering and terrorist financing,
the product governance definition and monitoring,
the prevention and management of conflicts of interest,
the interpretation of investment guidelines and monitoring of investment breaches
(UCITS rules / Prospectus rules ),
the management of the compliance risk related to cross-border distribution activities,

- Organizing the staff training programme in particular the local regulatory training sessions,
- Maintaining a central log of issues and incidents;
- Advising senior management on issues of compliance and standards, as well as impacts from new regulations;
- Preparing reports to the monthly Management Committees and quarterly Board meetings, as well as the Group compliance function;
- Coordinating compliance matters with various ManCo delegates and service providers.

Requisitos

The successful candidate is likely to:

Have 8 to 10 years of professional experience, including at least 5 years of experience in Compliance within the fund industry;
Be self-motivated, pro-active, with a strong sense of ownership, assertive follow-through and organisational skills;
Be technically proficient in relation to Microsoft Office applications. Any experience with Compliance tools considered a plus (Factiva DJ for name screening, Bloomberg / RiskSystem / SimCorp for investment compliance, GoAML for FIU declarations, or else);
Be able to work effectively without close supervision;
Demonstrate knowledge of UCITS rules and ESMA guidelines - MiFID knowledge
considered a plus;
Have good team player skills when participating in large projects, in an international environment;
Be willing to develop a good understanding of contractual framework and a strong capacity to identify applicable rules based on contractual or prospectus statements,
Be able to organize a number of tasks and prioritize them;
Have oral and written fluency in English and Spanish (both languages mandatory), with excellent writing skills;
Be willing to go through the ALCO Certification process, at the expense of the ManCo. If some / all modules already obtained, considered a plus.

What the ManCo can offer you:

A learning environment within a small team of subject matter experts in Luxembourg;
A good team spirit in constant communication with teams in Spain and Portugal;
A development opportunity within a ManCo with numerous business projects;
A flexible working environment allowing teleworking up to 2 days a week;
A package with complementary health insurance, lunch tickets and interesting target bonus.

Ubicación: Luxembourg (Luxemburgo)
Sector: Banca, seguros y finanzas
Vacantes: 1
Modalidad de trabajo: Híbrida

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