Compliance Officer

About Waystone  

Waystone is a leading asset-servicing solutions provider of institutional governance, administration, risk and compliance services to financial institutions. With over 25 years’ experience and a comprehensive range of specialist services to its name, Waystone helps our clients structure, operate and grow through our expertise, innovation and digitisation, backed by the operational scale to support global expansion

Summary: Reporting to the Chief Compliance Officer, the Compliance Officer will be an integral part of the team’s success. The Compliance Officer will play a key role in ensuring the effective management of regulatory and compliance obligations applicable to investment funds and regulated entities. The role involves leading regulatory activities, overseeing regulatory reporting, coordinating with internal and external stakeholders, and contributing to the continuous enhancement of the compliance framework in line with Luxembourg and international regulatory requirements.

ESSENTIAL DUTIES AND RESPONSIBILITIES

The Compliance Officer will need experience of UCITS and AIFMD regulatory framework. He/She/They will provide technical compliance support to the local Chief Compliance Officer, to Waystone Management Company (Lux) S.A., and to its affiliates. Experience of FATCA, CRS and AC is also required. The primary focus will be on regulatory framework analysis and alignment of internal governance framework and operational processes with it. The Compliance Officer will also be allocated responsibilities on the maintenance and reinforcement of the compliance framework, assisting with the implementation of the Compliance Monitoring Program, and with development and delivery of training.

• Lead and coordinate regulatory compliance activities for investment funds and regulated entities, ensuring adherence to applicable Luxembourg and international regulatory requirements.
• Manage and oversee regulatory reporting obligations, including but not limited to FATCA/CRS, beneficial ownership registers, mandatory disclosure regimes, data protection requirements, and other regulatory filings.
• Act as a key point of contact for regulatory matters, liaising with clients, internal teams, service providers, and competent authorities.
• Supervise and support a team responsible for regulatory and compliance activities, ensuring quality, timeliness, and consistency of deliverables.
• Oversee onboarding and ongoing due diligence processes, applying a risk-based approach in line with internal policies and regulatory expectations.
• Identify, assess, and escalate regulatory and compliance risks to senior management where appropriate.
• Review, contribute to, and maintain internal policies, procedures, and compliance frameworks.
• Support remediation projects and regulatory reviews, including the implementation of recommendations issued by supervisory authorities.
• Contribute to training, guidance, and knowledge-sharing initiatives within the organisation to promote regulatory awareness and compliance culture.

REQUIREMENTS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Experience:

• Significant experience (at least 5 years) in regulatory compliance within the financial services industry, including exposure to investment funds, asset managers, banks, or similar regulated entities.
• Proven experience in managing regulatory obligations, regulatory reporting, and interactions with competent authorities.
• Demonstrated leadership experience, including team supervision and coordination of complex regulatory matters.
• Strong analytical, organisational, and reporting skills, with the ability to manage multiple priorities under time constraints.

Education:

• University degree in Law, Finance, Economics, Business Administration, or a related field.
• Additional professional training or certifications in regulatory compliance, risk management, or financial regulation are considered an advantage.