- AIFM
- MANCOs
- TRANSFER AGENTS
- CUSTODY AGENTS
- DISTRIBUTION
- ASSET MANAGERS
- INVESTMENT FIRMS
- CREDIT INSTITUTIONS
- INSURANCE COMPANIES
- FIDUCIARY SERVICES PROVIDERS
- ACCOUNTANTS
- BUSINESS COMPANIES
our la partie Compliance (missions de compliance officer):
– drafting and reviewing compliance procedires and policies
– liaising with third parties such as auditors, banks, management companies, the CSSF…
– monitoring legal developments to ensure that the company (for a ManCo for instance) is compliant with the applicable rules and regulation
– providing compliance support
– participating in compliance related projects and regulatory initiatives
– continuous involvement in monitoring of regulatory developments
– conductiong due-diligence reviews on customers/investors, service providers, distributors, stakeholders…
– advising on underlying client documentation required to have the investor/customer file compliant
– review AML-escalations
– compliance/AML analysis in the acceptance process of new client relationships or investment vehicles
Pour la partie AML/KYC(mission de Senior AML/KYC Analyst):
– Assess and understand client corporate structures (mainly Alternative Investment Funds) and apply relevant AML procedures in undertaking and obtaining sufficient KYC to meet CDD/EDD standards.
– Ensure clients’ risk profile accurately and consistently matches with company’s AML risk matrix.
– Determine the level of risk to be applied to clients using the company’s risk matrix and investigating the complexity of the ownership structure.
– Perform periodic reviews of existing customer base to ensure on-going compliance with the CSSF Regulations and Internal Policies and Procedures.
– Liaise with the clients and Front Office to obtain outstanding CDD information/documentation to complete onboarding, renewal and remediation process.
– Conduct CDD and Sanctions checks on existing clients in accordance with CSSF Regulations or other relevant Regulations as required, escalating any findings to Compliance.
– Daily review of ongoing screening New Matches, conduct further researches to confirm or discard positive matches and escalate high risk cases to Compliance.
– Carry out ownership structure analysis and review other relevant documents to determine Intermediate Beneficial Owners (IBOs), UBOs, Authorized Persons and Key Principals (KPs).
– Screen customers for PEP, Sanction and Adverse Media
– Internal interfaces with Front Office, Legal and other key departments within the organization
– External interfaces and interactions with external counterparties/ clients.
– Performing CDD on clients by identifying and verifying information provided by the client using approved independent sources.
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