Head Of Compliance

platform dedicated to sustainable finance.

By joining LuxSE, you will become part of an independent stock exchange that has shaped international capital markets over the past 60 years and pioneered the rise of sustainable finance.

The Luxembourg Stock Exchange is looking for a:

Head of Compliance

Permanent contract (F/M)

We are looking for our new Head of Compliance, reporting directly to the CEO and leading a dedicated team of professionals to ensure regulatory excellence and integrity in our operations.

Responsibilities

• Organize recurrent controls on existing members and issuers (perform RC controls)
• Continuous regulatory watch of all compliance related EU regulations
• Supervise the implementation of Compliance Monitoring Plan
• Identify potential or actual Compliance risks and propose realistic mitigation or corrective solutions
• Monitor all measures taken to mitigate identified Compliance risks, if any, and report accordingly to the Stock Exchange's Executive Committee and Audit and Compliance Committee, and regulatory authorities, as appropriate
• Resolve any queries raised by internal or external Audit in their reports
• Contribute to the approval process for new products and/or services with regard to the process of approving new products and/or services for Compliance-related aspects when the Exchange wishes to launch a new type of activity, product or customer segment
• Act as an advisor on Compliance issues within the Exchange
• Assist the Management Committee in deploying measures to comply with applicable laws, regulations and standards and on the basis of an up-to-date register of standards
• Cooperate effectively with the relevant authorities (e.g. CSSF, Ministry of Finance Finance and CRF) for regular AML/CFT reporting, possible sanctions or ad hoc requests from a regulator
• Ensure that the Exchange's various business lines have rules for carrying out their day-to-day activities, and that these are appropriately reflected in the procedures and internal controls for the areas that fall within the Compliance function

Key requirements

• Higher academic training in a relevant field of expertise
• At least 5 to 10 years of experience in a similar role in the financial sector
• In depth knowledge of the banking regulatory environment (Ability to analyse and constructively comment draft legislation)
• Ability to foresee potential and identify actual issues across departments, investigate to find out relevant facts, and suggest feasible solutions
• Capacity to envisage the required digitalisation and automation; define the required information output to meet internal, external and regulatory reports in all forms
• Capacity to lead a department, coaching and guiding its members
• Ability to understands and anticipates implications of regulations and strategies across departments and can transpose important evolutions
• Ability to interact with all departments, contacts at different levels, external market relevant interactions and main contact for national and international authorities
• Excellent written and oral communication skills in English and French, any other language is an asset

Application

Luxembourg Stock Exchange is an employer for whom diversity and inclusion are important. We therefore encourage you to apply, regardless of your gender, ethnicity, sexual orientation, age, religion or disability. At a later stage of the recruitment process, we may ask for a recent copy of your criminal record (N°3).

LuxSE does not accept unsolicited resumes, CVs, or profile summaries from agencies. In case of an unsolicited proposal, this shall not be considered as (i) "ownership" of the candidate and/or (ii) introduction of the candidate by such agency unless the agency has received prior authorization from our Legal and/or HR departments.