Regulatory Compliance and Monitoring:
Contribute to the maintenance of a robust Compliance Monitoring Plan (CMP), aligned with risk-based principles and applicable regulatory framework.
Assist in performing periodic thematic reviews across key regulatory obligations and collaborate with the Central Compliance Testing & Assurance team to ensure appropriate second line coverage.
Execute tasks to support regulatory horizon scanning and impact assessments for emerging laws.
Assist in drafting, maintaining, and updating local compliance policies and frameworks, ensuring alignment with local EU/Luxembourg regulatory requirements and group-level standards.
Contribute to the maintenance of the Compliance Risk Assessment (CRA) and the CMP.
Prepare drafts and coordinate materials for regulatory reports, dashboards and presentations for regulatory engagement and internal governance bodies.
Support the team in responding to regulatory queries and preparing for inspections.
Provide timely and practical guidance on routine Compliance matters to business and operational teams.
Support the Compliance by Design process through initial review of new products and services to ensure compliance from the design stage.
Execute monitoring tasks related to Consumer Protection matters focusing on Conflict of Interest, transparency and disclosures, in line with applicable laws and regulations.
Maintain registers (e.g. controls, conflict of interest, breaches, complaints) and assist with the governance structure of the Compliance function.
Assist in liaising and preparing materials for internal governance bodies.
Support the Chief Compliance Officer to ensure effective implementation of the AML/CFT obligations.
Contribute to the preparation of annual regulatory reports (e.g. AML Risk Assessment, RC Report, Annual Compliance Summary Report, Annual Complaints report) and support FIU/LE engagements.
Coordinate the training content and audience for Compliance-related trainings (e.g. AML/CFT, MiCA, whistleblowing).
Liaise with the Central team in charge of training to ensure local Compliance modules are delivered to all in-scope training audience.