Specialist, Compliance

• Identifying, controlling, assessing and reporting compliance of NTGS SE with the Luxembourg regulations other than AML/CTF, in particular LSF, Circulars CSSF 12/552 as amended, 16/644 and 18/697 (Depositary and TA duties), 93/101 and 95/119, Client complaints, Data Privacy and MiFID II
• Timely and accurate completion of the compliance program of NTGS SE within B-Wise and in line with the Global Compliance Framework for the regulations other than AML/CTF; this entails completion of related:
• Map of Rules,
• Compliance Risk Assessment (CRA), including answers to Corporate Compliance quality check questions,
• CRA actions formalisation and tracking,
• CRA quarterly attestation,
• Issue of the yearly NTGS SE compliance control plan,
• Timely completion and formalisation of the report of the planned controls (Monitoring reviews), including getting a formal agreement, management action and target date of a business owner on the related eventual findings (which completion must be tracked and slippages escalated and included in CCO report).
• Support preparation of ad hoc reports both internally and externally (Long Form Report) on topics other than AML/CTF
• Contribute to the review cycle of the compliance policies
• Maintain a log at NTGS SE, and inform EMEA Regulatory Liaison, of all interactions with the financial supervisory authorities of NTGS SE, including the ones of NTGS SE branches
• Alert and deliver “consultancy” style service to NTGS SE partners, including the branches, as well as to other compliance or business partners across NT group, in regards to the Luxembourg regulation other than AML/CTF. This includes:
• Attendance to relevant business or project steering committees, or ad hoc meetings
• Answer specific asks per email or memorandum
• Review and require when necessary enhancements to the e training modules for NTGS SE partners, or provide ad hoc trainings if necessary
• Control that the 1st Line of Defence has:
• Understood the regulatory requirements
• Taken ownership and set the adequate resources for getting its operational processes and related 1st Line controls adapted to ensure effective compliance with it
• Committed to take corrective actions on eventual gaps and delivers on the action in time
• Taken good note at the executive level of eventual slippages on corrective actions

• English : fluent spoken, written - Mandatory;
• French: fluent spoken, written - Mandatory;
• German: notions considered as an asset.

• Knowledge of Custody, Depositary, Transfer Agency, Fund Accounting, Capital Market services and sound bank governance;
• Sound knowledge of the following pieces of legislations and regulations in Luxembourg:
• Banking
• UCI
• Depositary
• Data protection
• MiFID II/MiFIR
• CSDR
• SFTR
• ESG
• Experience of providing compliance advisory support to operational business areas within a banking financial services environment
• Proven record of problem solving and delivering effective solutions
• Strong analytical skills

• Microsoft Office.

• Effective Communication
• Influencing, Judgement & Issue Resolution
• Planning & organising
• Time Management
• Teamwork and Collaboration;
• Autonomous and team player

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