Investment Fund Restrictions Monitoring Officer

Quintet Luxembourg, Luxembourg, LUX, L-2955
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Purpose of the Job

 

The successful candidate will work as part of Asset Servicing & Financial Intermediaries and will integrate the team of Business Integration & UCI Monitoring.


Acting as depositary bank of Funds, mainly UCITS and UCI, Quintet Luxembourg must comply with regulatory requirements to ensure investors’ protection. One of the obligation is the respect of the investment policy defined by the law and the official documents of the Funds.

Key Accountabilities


1. Configure the rules according to the appropriate Law and prospectus describing the investments policy of each UCITS/UCI in an adequate system to be able to control the respect of the investment restrictions.


2. On a daily basis, perform the pre- & post-NAV controls to detect any non-compliance with the Investment policy of the funds. 
Keep statistics of these controls for follow up and audit purposes.


3. Notify the Investment Manager and any other intervening parties in case of breach or potential breach in order to get it rectified.


4. In case of active breach, prepare and issue the notification to the CSSF according to the circular 02/77.


5. Be able to keep oneself up to date about any modification of the law, any rules/directives/opinions applicable to UCITS/UCI (UCITS V, SIF Law, AIFMD, ESMA guidelines, CSSF’s circulars, etc.).

Knowledge and Experience


-University degree or Bachelor level (Bac +3) minimum in Economy and/or Finance, with a minimum of 5 years relevant experience


-Good knowledge of financial products

 

- Knowledge of Luxembourg investment fund range and regulations is required.

Attributes and Qualities


-Rigorous and Organised


-Good analytical skills


-Collaborative and able to build strong relationship


-Good oral & writing communication skills


-Be able to work independently and be an excellent and open-minded team player

Technical Skills


-Active use of MS Office, especially Excel


- Knowledge of Neoxam Compliance tool would be an advantage

Languages Skills


- Fluent in English and French,  German would be an advantage

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