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Compliance Officer Roles and Responsibilities in Niué

The Compliance Officer plays a critical role within the Conducting Office of Niué, providing support on various compliance topics under the supervision of the Conducting Officer. The successful candidate will be expected to demonstrate expertise in anti-money laundering (AML) and know-your-customer (KYC) matters, as well as compliance with regulatory obligations and reporting requirements.

Key Responsibilities

  • Daily Name Screening: Perform daily name screening and other second-line-of-defense controls to identify potential AML risks.
  • Compliance Process Implementation: Implement compliance processes, policies, and guidelines, promoting awareness of regulatory principles and requirements among staff.
  • Delegated Functions Oversight: Oversee delegated functions and support the drafting of procedures and guidelines for implementing Compliance policies.
  • KYC Data Review: Conduct regular reviews of KYC data for AIFM relationships, ensuring timely and accurate reporting.
  • Compliance Registers and Logs Maintenance: Maintain Compliance registers and logs, including CSSF communication and conflicts of interest.
  • Escalation of Deficiencies: Escalate significant deficiencies and issues to management, documenting all tasks performed.

Requirements

  • Education: Bachelor’s or Master’s degree in Law, Finance, or an equivalent field.
  • Experience: 2-5 years of professional experience in a Compliance-related function within an Alternative Investment Fund Manager (AIFM) or Big Four firm.
  • Knowledge:
    • Strong knowledge of AIFM legislation and CSSF Circular 18/698.
    • Profound understanding of Luxembourg AML and AIF Compliance laws, as well as oversight duties and governance.
  • Skills: Excellent MS Office skills, particularly in Excel. Fluency in English; additional languages an asset.

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