Regulatory Compliance Officer

  • Employment Type
    Full Time
  • Educational Requirements
    Master 2
  • Contract Type
    Temporary contract
  • External Reference

We recruit for one of our clients, a financial institution, a Regulatory Compliance Officer.

Your responsibilities

The Regulatory Compliance officer acts as a reference on key regulatory areas within the bank by connecting different regulatory and business aspects to ensure the compliance of the Bank with laws and regulations

  • Identify and analyze regulatory texts impacting the bank
  • Participate to regulatory projects impacting the Bank
  • Ensure the proper execution of the tasks dedicated to the whole compliance function
  • Represent at any time the values of the institution
  • Lead to the promotion and development of Compliance culture within the bank
  • Contribute to the success of the Bank by having respectful professional relations with all Staff Members
  • Management of the regulatory and compliance issues (including Frauds, AML/CTF and Sanctions) within the Bank as well as ensuring communications and proper reporting to both authorities and Head-Office
  • Actively contribute to the Management Compliance Committees 2
  • Process questionnaires and requests received by 3rd parties (regulatory authorities, correspondent banks, etc) and manage administrative tasks
  • Supervise junior staff (including compliance support and compliance officers)
  • Act as a key person of contact for the employees
  • Contribute to the definition of compliance testing strategy & plan
  • Define, execute and manage compliance monitoring and testing plan for the Bank (including AML & Sanctions) and especially on complex topics
  • Perform global quality checks and Risk assessment based on the results of the testing for the testing conducted
  • Prepare the back-testing and self-audit
  • Perform regulatory watch, researches, analysis and identify strategic changes and impacts for the bank business and operating model
  • Connect the different regulatory obligations to ensure the identification of the full picture and the development of pragmatic approach
  • Drive and follow-up a scope of compliance projects with internal or external supports (not as project manager)
  • Provide active support on regulatory aspects of projects conducted in the bank (e.g. through committees, meetings, or ad-hoc)
  • Perform user acceptance tests of compliance-related IT systems and applications
  • Create, manage and report regulatory Compliance MIS
  • Prepare and maintain internal documentation up-to-date (policies, procedures, manual) and support business lines to apply our updates
  • Be actively involved in the preparation and execution of compliance trainings
Your profile
  • University degree in Law, Economics, Business School. Additional Risk and/or Compliance certification (CAMS, etc.) is a valuable asset
  • Experience in a similar function in Luxembourg (bank, management company, audit and/or consulting firm, etc.)
  • A good understanding of ethical and compliance principles and sound knowledge of core businesses including Investment fund activities, Depositary and custody activities, and Fund Administration and Transfer Agency activities
    Additionally, basic understanding of two of the following: (i) Securities Agency and issuer services, (ii) Accounting management, (iii) Tax compliance matters, (iv) Risk management (Financial and Operational), (v) Treasury and liquidity management
  • Fluency in English and French is mandatory


If you identify yourself with the requirements of this challenging position, do not hesitate to apply by clicking on the button below.

Applications sent through the dedicated form on MySpringProfessional will be priorily processed.

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