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Head of Regulatory Compliance – Asset Management (Luxembourg)
Location: Luxembourg
Department: Compliance & Risk
About the Role
Our client, a global asset management group with a strong Luxembourg UCITS and AIF platform, is seeking an experienced Head of Regulatory Compliance to lead and oversee all regulatory compliance matters across its Luxembourg Management Company and investment fund structures.
This role will act as Conducting Officer for Compliance, ensuring the firm maintains a robust control framework aligned with CSSF and EU regulatory requirements.
Key Responsibilities
- Serve as Conducting Officer for Compliance, reporting directly to the Board and the CCO.
- Oversee all regulatory compliance activities for UCITS and AIFs under management.
- Maintain and enhance the compliance monitoring plan in line with CSSF circulars and group standards.
- Provide regulatory interpretation and advice on AML, MiFID II, MAR, SFDR, UCITS V, AIFMD and ESG requirements.
- Supervise and mentor a team of compliance officers, ensuring efficient issue escalation and resolution.
- Represent the compliance function during CSSF inspections, audits and board committees.
- Review and approve marketing materials, distribution arrangements and delegated service provider oversight.
- Liaise with Legal, Risk, and Operations to ensure policies, procedures and training remain up to date and aligned with regulatory changes.
- Support new product launches and fund registrations, providing compliance input at structuring stage.
- Manage compliance reporting to senior management and regulators.
Requirements
- University degree in Law, Finance, or related field.
- Minimum 8–10 years’ experience in compliance within an Asset Manager, ManCo, or Big 4 regulatory advisory.
- Strong knowledge of UCITS, AIFMD, MiFID II, AML/CFT, and CSSF circulars.
- Prior experience as Conducting Officer or Deputy CO preferred.
- Excellent communication and stakeholder-management skills, fluent in English (French or German an advantage).
- Demonstrated ability to design and lead compliance frameworks in a multi-jurisdictional environment.
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