Compliance Officer Assistant

Posted 12 October 2023
Salary Negotiable
Job type Permanent
Discipline Compliance & Financial Crime
Contact NameTeni Ade-Ojo

Job description

Job Title: Compliance Officer Assistant

Location: Luxembourg

The Role:

Broadgate have partnered with a rapidly growing independent third-party Management Company authorized to hire a Compliance Officer Assistant. This role will report to the Chief Risk and Compliance Officer and play a crucial part in ensuring the company's legal integrity and reputation are preserved while adhering to industry rules and regulations.

This is an exciting opportunity for a proactive and curious individual to join an organisation that values transparency, commitment, and integrity.


  • Provide advice and support to staff on various compliance-related matters, including Management Company governance, AML/CTF, MIFID, FATCA/CRS, QI, Data Protection, etc.
  • Lead on internal Due Diligence and AML databases (e.g., Cascade, WorldCheck), as well as CSSF applications.
  • Handle AML/KYC reviews on clients, counterparties, delegates, and asset portfolios.
  • Maintain and update the Compliance Monitoring Plan, by conducting regular compliance checks and controls.
  • Stay updated on new laws and regulations that could impact the business and anticipate compliance risks.
  • Providing compliance assistance to all departments, including analysing compliance issues, conducting research, and preparing opinions, articles, or other related documents.

About You:

  • A master's or bachelor's degree in a technical discipline.
  • 3-4 years of experience in a similar role within a Management Company.
  • Extensive knowledge of the regulatory framework, including UCITS, AIFMD, and CESR/ESMA guidelines.
  • Proficiency in office software, particularly Excel, Word, and PowerPoint.
  • Advanced knowledge of Excel for handling and managing large datasets.
  • Proficiency in English and/or French (Fluency is required), and Italian is an asset.
  • A proactive, flexible, and curious attitude with a strong willingness to learn.

Please apply and a consultant will be in touch.