FundRock LIS S.A. is a successful third-party UCITS management company and AIFM headquartered in Luxembourg and with an office in Dublin, delivering fund solutions to renowned investment managers and fund initiators.
Founded in 2011, we focus on private equity, real estate, infrastructure and debt asset classes. Today we are the leading third-party AIFM in the private funds space.
In September 2022, our company was acquired by Apex Group. Apex Group Ltd., established in Bermuda in 2003, is a global financial services provider. With over 13,000 employees globally, Apex Group provides services into 50 jurisdictions delivering an expansive range of services to asset managers, financial institutions, private clients, and family offices. The Group has continually improved and evolved its capabilities to offer a single-source solution through establishing the broadest range of services in the industry; including fund raising solutions, fund administration, digital onboarding and bank accounts, depositary, custody, super ManCo, corporate services and a pioneering ESG and sustainability services. Apex Group’s purpose is to be more than just a financial services provider and is committed to driving positive change to address three core areas; the environment and climate change, women’s empowerment and economic independence, education and social mobility.
What is your role and responsibilities?
- Act as responsable du contrôle (RCs) for clients’ funds (regulated: SIFs and UCITS and unregulated: AIFs, RAIFs), being the first point of contact for the responsable du respect des obligations (RR)/Board as well as the escalation point for service providers and regulators
- Adapt and review AML/CFT policies and conduct risk assessments for the respective funds, recommend changes or updates
- Request and review the KPIs from the AIFM/ManCo, the transfer agent, the (delegated) portfolio manager and, if applicable, the global distributor
- Conduct / review sample tests on service providers (offsite and onsite)
- Register the funds with GoAML (FIU), including administrative tasks related thereto
- Prepare SAR/STR reports if needed
- Be responsible for creating/reviewing quarterly and annual AML/CFT reports
- Prepare reporting documents for supervisory authorities, as applicable
- Update templates and ensure deadlines are respected and met
- Monitor the innovations in the area of AML/KYC, both in terms of regulatory obligations and requirements as well as industry-standards
What are the minimum requirements you need for the role?
- You have a strong relevant academic background or a relevant working experience of at least 3 years in the financial services industry in Luxembourg, preferably in the fund industry,
- You have solid knowledge of the relevant legal and regulatory requirements of the Fund industry in Luxembourg as well as AML/CFT
- UCITS experience is considered as an asset, but not a requirement
- You work self-motivated, pay attention to details, have strong organisational skills, are able to prioritize as well as willing to learn, resilient and reliable
- You have strong communication and negotiation skills in English; German would be an asset (basic knowledge of the French language is desirable)
- You like to carry out tasks on your own responsibility, but you also enjoy working in a team and with different departments
- Discretion in dealing with confidential information is a matter of course for you
- You are confident in the use of common MS Office programs (Outlook, Word, Excel, Teams and PowerPoint)
As a vital team member and in return for your expertise, inclusive approach and commitment, we'll provide a favourable salary and the chance to join a passionate and welcoming team. Benefits As a truly global business, we tailor benefits to each location to safeguard our people and respect local cultures and ways of working. Our people are our greatest asset, and we invest in talent development. Join our global network, and you will benefit from education support, sponsorship and in-house training programs.
Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.