Alternative Asset Monitoring Senior Officer Job at Quintet Private Bank (Luxembourg)

Alternative Asset Monitoring Senior Officer

Acting as a trusted partner for more than 400 Investment Sub-Funds, Quintet Luxe...

Location

Luxembourg , Luxembourg

Salary:

Not provided

Quintet Private Bank

Expiration Date

Until further notice

Requirements

Further professional Education (Masters / Professional qualification)
Between 3 and 5 years experience in a similar role
Strong knowledge of Luxembourg Investment Fund Legislation and depositary duties/responsibilities in particular related to AIFM Directives
Strong understanding about alternative investments
Previous Depositary Bank Fund Industry experience
Good communication skills, able to interact confidently with clients
Fluent in English and French

Job Responsibility

Assess the complexity of Funds strategies (private equity, real estate, funds of funds and other alternative structures) in order to determine how to apply appropriate assets monitoring
Ensure the day to day Depositary tasks in relation to Alternative Investment Funds is performed in accordance with regulatory requirements and internal procedures
Process the transactions based on the documentation required (pre and post trade) in relation to the recordkeeping duty
Apply and document the look-through assessment for multi-layers investments
Complete and maintain the recordkeeping of alternative assets in Quintet Depositary systems
Ensure frequent reconciliation of portfolio is performed and supervise client’s investment during their life cycle
Prepare the alternative assets inventory for fund auditors in the frame of annual confirmation of assets
Build strong relationship with clients and setup frequent meetings, to facilitate the reception of required information, exchange on all operational matters relating to their investments, and proactively be informed about investments pipeline
Provide support and guidance to Alternative Assets Monitoring officer in their day to day tasks
Ensure Quintet complies with the AIFMD requirements and keep up to date with legislation, professional standards and regulatory changes affecting the Luxembourg

Depositary Senior Officer

Responsible for the day to day operational depositary work in relation to a port...

Location

Luxembourg , Luxembourg

Salary:

Not provided

Alter Domus

Expiration Date

Until further notice

Requirements

You hold a bachelor degree, preferably in a financial services related subject
You have 2 to 4 years of relevant experience in the alternative investment funds industry in particular private equity, real estate and or debt (depositary specific experience is highly preferable but is not mandatory)
You possess team spirit, the capacity to build strong client relationships, and take initiative to act without waiting for direction, when appropriate
You are fluent in English (Knowledge of French and/or German will be considered as an asset)
You have good knowledge of MS Office, specifically Excel
You are organised, flexible, able to multi task and manage workload efficiently
You have experience of working in an environment where you are responsible for all aspects of the day to day oversight of a portfolio of clients
You are dynamic and have excellent communication skills.

Job Responsibility

Responsible for the day to day operational depositary work in relation to a portfolio of private equity, debt, real estate and infrastructure Alternative Investment Funds
Ensure compliance with regulations and internal procedures, with a focus on the following depositary duties: Cash monitoring
Oversight
Safekeeping
Act as the client’s first point of contact for both operational topics and the management of internal and external parties relationships such as Asset Managers, Administrators, Auditors, etc…
Take ownership of the client onboarding process, including the due-diligence work on third parties
Review the work performed by junior team members and coach them, escalate any issues to management
Assist in drafting new business proposals and fee quotes, including client presentations.

What we offer

Support for professional accreditations such as ACCA and study leave
Flexible arrangements, generous holidays, plus an additional day off for your birthday
Continuous mentoring along your career progression
Active sports, events and social committees across our offices
24/7 support available from our Employee Assistance Program
The opportunity to invest in our growth and success through our Employee Share Plan

Fulltime

AIFM Valuation Senior Officer

The Valuation Officer within the Management Company is involved in the day-to-da...

Location

Luxembourg , Luxembourg

Salary:

Not provided

Alter Domus

Expiration Date

Until further notice

Requirements

Strong academic background - ideally MA/MSc/MBA
CFA/CAIA would be an advantage
Junior profile: 0-2 years' work experience (internships and academic projects in finance are valued) with a strong desire to learn and succeed
Senior profile: 3+ years' work experience in the financial industry (preferably within the area of auditing, controlling or valuation) with a strong desire to learn and succeed
Junior profile: Interest in alternative assets (Private Equity, Real Estate and/or Infrastructure sector) and willingness to develop expertise
Senior profile: Broad experience over different alternative assets (Private Equity, Real Estate and/or Infrastructure sector) is required
Excellent (or developing) financial modelling and technical skills - DCF, IRR, NPV, ratio analysis
Excellent written and verbal communication skills
Self-directed person, able to manage effectively and complete tasks within demanding timelines despite competing priorities
Able to ask probing questions to asset managers and advisers and keep fully up to date with sector trends to assess the impact on valuations

Job Responsibility

Produce/review valuations for each NAV calculation
Assess the valuation/price of new investment opportunities
Perform detailed analysis on portfolio assets and environment/market in which assets operate
Produce valuation reports summarising the work performed and the valuation for each portfolio asset
Present the valuation reports to the Valuation Committee
For Senior profile: Provide assistance and oversight to junior team members
Interact with various teams (Portfolio management, Fund Onboarding, Risk Management, Operation & Oversight etc.), committees and board of directors within our Management Company as well as with external parties (GP, investment advisors/managers, auditors, third party valuation firms, service providers, regulators etc.) on accounting, monitoring and valuation related topics

What we offer

Support for professional accreditations such as ACCA and study leave
Flexible arrangements, generous holidays, plus an additional day off for your birthday
Continuous mentoring along your career progression
Active sports, events and social committees across our offices
24/7 support available from our Employee Assistance Program
The opportunity to invest in our growth and success through our Employee Share Plan
Plus additional local benefits depending on your location

Fulltime

Compliance Senior Officer Depositary Services

You will join the Compliance Team of Alter Domus specialised Professional of the...

Location

Luxembourg , Luxembourg

Salary:

Not provided

Alter Domus

Expiration Date

Until further notice

Requirements

Bachelor’s or master’s degree in law, Finance, Business Administration, or a related field
2-5 years of relevant experience in depositary activities, acquired through a compliance, internal audit or regulatory advisory role, specifically within the Luxembourg market
Deep understanding of the Alternative Investment Fund (AIF) sector, including Private Equity, Real Assets, and Debt funds
Extensive knowledge of the AIFMD (Alternative Investment Fund Managers Directive) and local CSSF circulars (e.g., 18/697, 18/698)
Skilled in monitoring cash flows, asset verification, and performing investment restriction checks
Good analytical, problem-solving, and communication skills, with the ability to work collaboratively across teams in different jurisdictions and functions
Proficient in English, both written and verbal
Demonstrate the ability to coach and supervise junior officers, sharing expertise and coordinating team workflows
Highly organized with strong attention to detail and a proactive approach to resolving discrepancies

Job Responsibility

Ensure Alter Domus complies with all applicable laws, regulations, and circulars relevant to depositary functions
Perform and document regular compliance risk assessments, thematic reviews, and control testing across depositary operations
Maintain, update, and continuously enhance compliance policies, procedures, and the Compliance Monitoring Plan (CMP)
Ensure the Compliance Monitoring Programme is effectively implemented, followed up, and adequately evidenced
Assist in preparing periodic Compliance Reports for Senior Management/Conducting Officers and the Board of Directors
Escalate significant issues, deficiencies, breaches, or policy deviations, and monitor the timely implementation of remediation actions
Coordinate the review, approval, publication, and annual attestation of Compliance policies and procedures
Contribute to governance deliverables required from a Depositary, including regulatory filings, registers, and compliance attestations
Act as a key point of contact for regulatory compliance queries related to depositary activities
Promote a strong compliance culture within the Depositary business, providing guidance and training where needed

What we offer

Support for professional accreditations such as ACCA and study leave
Flexible arrangements, generous holidays, plus an additional day off for your birthday
Continuous mentoring along your career progression
Active sports, events and social committees across our offices
24/7 support available from our Employee Assistance Program
The opportunity to invest in our growth and success through our Employee Share Plan
Plus additional local benefits depending on your location

Senior Valuation Officer

Location

Luxembourg , Senningerberg

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

University Master's degree in Economics, Finance or Mathematics
7+ years experience in valuation within the asset management industry
Strong understanding of valuation principles, methodologies, and techniques for a wide range of asset classes including equities, fixed income, derivatives, and alternative investments
Strong knowledge of quantitative finance, risk management methods and financial instruments
Profound knowledge of regulatory requirements and industry standards related to valuation of AIFMDs and UCITS
Professional certification preferred, CFA, FRM CAIA, CFI certifications or any valuation certificate
Good analytical, organizational, writing and communication skills
Able to work both independently. Recognized team player
Fluent in English

Job Responsibility

Assist in leading and overseeing the valuation process for a portfolio of alternative investment funds
Act as a senior valuation subject-matter expert in support of client, commercial, and product initiatives
Participate in client and prospect discussions to explain valuation frameworks, governance, and methodologies
Support the onboarding of new funds and mandates
Contribute to the enhancement and ongoing maintenance of valuation policies, procedures, and internal controls
Monitor regulatory developments affecting valuation activities and industry standards
Conduct valuation analyses across a broad range of asset classes
Coordinate and support valuation-related audits, regulatory queries, and due diligence exercises
Identify and support opportunities for process optimisation, automation, and enhancement of valuation methodologies
Collaborate with internal commercial, client service, and product teams

Fulltime

Senior Compliance Officer

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advis...

Location

United Kingdom , London

Salary:

Not provided

Brewin Dolphin

Expiration Date

Until further notice

Requirements

Expertise in UK, EU and US regulations relevant to asset management
Expertise in the investment fund industry, including proven experience with UCITS and Alternative products
Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management
Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment
Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information in accordance with market abuse regulations
Expertise in UK/EU regulatory environments, and FCA Handbook rules
Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management
Excellent attention to detail and organizational abilities
Strong work ethic, positive, pro-active and adaptable attitude
Strong interpersonal and communication skills

Job Responsibility

Provide expert regulatory advice UK/EU UCITS and Alternatives funds
Provide expert regulatory advice on US 40 Act Funds
Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements
Complete periodic compliance certifications for clients in accordance with IMA reporting obligations
Conduct conflict checks on potential investment opportunities and escalate identified conflicts to the line manager for discussion and resolution
Provide advice on ESG, Responsible Investment and Taxonomy matters
Drive the alignment and integration with enterprise standards
Drive efficiencies and enhancements to existing Compliance controls and framework
Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK
Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees

What we offer

Bonuses
Flexible benefits
Competitive compensation
Leaders who support your development through coaching and managing opportunities
Opportunities to work with the best in the field
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
A world-class training program in financial services
Flexible working options fully supported

Fulltime

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , New York

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)
flexibility to work remotely on Friday

Fulltime

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , Greenwich

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)

Fulltime

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Alternative Asset Monitoring Senior Officer

Job Description

Job Responsibility

Requirements

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