Compliance Officer
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A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing....
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With a history spanning over 225 years, Lombard Odier is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide advanced banking technology to other financial institutions.
“Rethink Everything” is our philosophy – it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients. In order to reinforce our Compliance Team in the Luxembourg based Management Company, Lombard Odier Funds (Europe) S.A., we are looking for a Senior Compliance Officer – Investment Monitoring About the role You will join a global business of more than 200 investment professionals and a network of 13 offices across Europe, Asia and North America. You will report to the Conducting Officer responsible for Compliance in Luxembourg and be the central point of reference and expertise on Investment Controlling matters for funds and mandates managed by LOIM or by external Portfolio Managers. In this role, your main responsibilities will include the following inter alia:
- Participate in funds’ launch discussions to appraise the investment strategy and discuss any impact on investment compliance.
- Review the prospectus and investment management agreements in order to ensure they are compliant with legal requirements and consistent with LOIM internal guidelines, and that investment rules can be implemented in the compliance tool Bloomberg AIM.
- Code investment rules in the compliance tool (pre- and post-trade).
- Manage the relationship with external counterparties (external Portfolio Managers, depositaries) including understanding of the scope of investment rules and review of the accuracy of their controls.
- Identify, analyze and escalate non-compliance issues with investment rules in line with our internal Breach Policies.
- Escalate to portfolio managers and senior management any investment breach on a need-to-know basis.
- Follow-up on resolution and potential compensation of investment breach.
- Report investment breaches to regulators as requested (CSSF, AMF).
- Report to the Boards, committees and counterparties on investment monitoring.
- Maintain awareness of investment controlling regulatory developments, assess the impact and initiate necessary changes with relevant stakeholders.
- Maintain systems, databases and processes up-to-date.
- Provide training and advice to portfolio managers on investment restrictions and evolution of the regulations and ensure adherence to LOIM policies and procedures.
- Assess eligibility of complex products and strategies upon request.
- Conduct due diligence on external providers (Depositaries, Bloomberg).
- Participate to group-wide compliance projects.
- Be proactive on CSSF and auditors’ request on an ad hoc basis.
- Develop and maintain methods to enhance procedures with respect to the Investment Controlling function.
- Manage and lead one team member.
- You hold a University degree (or equivalent) ideally in Economics, Finance or Law.
- You have at least 5 years of experience in investment restrictions monitoring. An experience in external audit would be an asset.
- You have a solid knowledge of the regulatory framework (UCITS, AIFMD, CESR/ESMA guidelines). Knowledge of the Swiss /French local regulatory framework will constitute an advantage.
- You are proficient in written and spoken English and/or French.
- You have excellent skills with MS Office and Bloomberg.
- You have analytical, organizational, writing and synthesis skills.
- You have the ability to work autonomously but also as part of a team.
Information :
- Company : Lombard Odier & Cie
- Position : Compliance Officer
- Location : Luxembourg
- Country : LU
How to Submit an Application:
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Post Date : 13-06-2024
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