Company EDOUARD FRANKLIN   Read our profile
Address: 24, rue Jean l'Aveugle L-1148 Luxembourg, Luxembourg  
Tel: +352 24 61 62
Regulatory Compliance Monitoring & Testing Manager

EDOUARD FRANKLIN is a recruitment agency specialised in the Wealth Management and Asset Management sectors, with offices in Luxembourg, Brussels, Paris, London and Geneva. We serve Private Banks, Independent Wealth Managers, Family Offices, Life Insurance Companies, Trusts and Law firms in the recruitment of experts and managers in these two business areas. We operate through direct approach or job posting depending on the complexity level.


Your role

Supporting the Luxembourg Regulatory Compliance Team and reporting to the RC Head, you will be responsible for the planning and execution of all Compliance Monitoring activities with regards to the various business lines (Private Banking, Securities Services, Asset Management and Commercial banking).

Principal accountabilities :

  • To support the Business by providing specialist monitoring assistance as required.
  • Conduct periodic monitoring of key RC risks across all in-country business lines as directed by the regional RCMAT team.
  • Assist with the identification of key emerging compliance risks across all RC categories and interface appropriately with other RC teams and senior management.
  • Proposing, managing and tracking the resolution of subsequent monitoring findings.
  • Face key Business decision makers within the Bank and ensure a clear and open channel of communication with management.
  • Contribute to the continuing development, implementation and improvement of the processes.


Your technical skills

  • University graduate in Banking or Audit.
  • At least 5 years of experience in Compliance monitoring or external audit with a focus on Compliance, ideally within two or more of the company Luxembourg’s business lines (Private Banking, Securities Services, Asset Management and Commercial banking).
  • Understanding of RC requirements and risk-based monitoring techniques.
  • Knowledge of the GSM, Compliance FIM, Compliance Officers Handbook (COH) and the relevant sections of the Operations FIM.
  • Excellent knowledge of Word and Excel (Access is a pro).
  • Fluency in English required, French and/or another European language desired.


Your personal skills

  • Dynamic, enthusiastic and self-motivated person with a naturally proactive approach.
  • Good interpersonal, written and verbal communication skills.
  • Ability to work under pressure, both autonomously and within a team and consistently meet deadlines.
  • Strong inter-personal skills and excellent communication, dealing with senior executives.
Location   Luxembourg
Payment NC
Category Banking, Consulting / Audit / Fiscality
Terms Permanent, Full-time
Last updated 21/04/2017

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