Manager AML, Compliance & Corporate Governance

LUmid

Legal & ComplianceCompliance

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Quick Summary

Overview

ABOUT US DTCP is an independent investment management firm with EUR 4.5 billion in assets under management and over 90 professionals. With a focus on digital transformation,

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Legal & ComplianceCompliance

Responsibilities

~1 min read

→Appointed AML Officer (Geldwäschebeauftragter) for the BaFin-regulated investment firm (subject to regulatory approval)
→Overall responsibility for the firm's AML/CTF and sanctions compliance framework
→Oversee all KYC/CDD processes for investors, counterparties and business partners
→Advise investment teams on AML, sanctions and regulatory compliance throughout transactions
→Act as the primary AML and Compliance contact for Luxembourg AIFMs, fund administrators, regulators and external service providers
→Maintain and enhance the firm's AML policies, procedures, risk assessment and digital AML/KYC platform
→Maintain statutory records such as commercial registers/transparency registers, etc.

Monitor regulatory developments and ensure implementation of new legal and regulatory requirements and drive digitalisation of compliance processes
Manage employee compliance matters, including conflicts of interest, personal account dealing, gifts & entertainment, outside business interests and annual compliance certifications
Maintain the outsourcing register and oversee compliance-related registers
Coordinate the employees’ compliance training programme
Coordinate whistleblowing procedures, internal compliance investigations and remediation measures
Coordinate regulatory corporate filings (e.g. managing director mandates and other statutory notifications)
Coordinate Board and shareholder meetings across DTCP entities, including agendas, board packs, resolutions and minutes
Maintain the corporate governance calendar, annual compliance schedule and contract database
Coordinate the annual review and implementation of internal policies and governance documentation
Manage powers of attorney, authorised signatory lists, etc.
Coordinate regulatory audits and remediation projects
Manage and negotiate long-term supplier agreements, including software and compliance service providers

University degree in Law, Business Administration, Finance or a related field
2–5 years of relevant professional experience in AML, Compliance, Regulatory Affairs or Corporate Governance within a regulated financial institution, investment firm, asset manager, AIFM, or financial services environment
Solid understanding of German and European AML and financial services regulation
Professional AML or Compliance certifications are advantageous but not required
Proven practical experience with KYC/CDD processes, sanctions screening and AML risk assessments
Familiarity with Luxembourg alternative investment fund structures (RAIFs, SIFs, AIFMs) and cross-border investment structures is desirable
Experience managing or supporting regulatory audits and compliance reviews is a plus
High level of accuracy, integrity and attention to detail
Ability to work independently while collaborating effectively with investment, finance and operations teams
Fluent English and German, both spoken & written, is required

What We Offer

~1 min read

✓Exposure to Buy-side transactions, a multitude of counterparty types across numerous jurisdictions, as well as a continuously evolving structure bringing new challenges, and workstreams

✓Competitive compensation

✓Highly entrepreneurial set-up with small and dynamic teams