Investment Compliance Trainee

  • Category
    Financial back office manager
  • Job Type
  • Industry
    Accounting, Finance and Insurance
  • Educational Requirements
    Bachelor´s degree
  • Job reference:

Your Role:

Service delivery and standards

  • Review of eligible assets according to the legal and regulatory restrictions as issued by applicable CAA (“Commissariat aux Assurances”) regulations and European legislation as well as the alignment with the defined investment strategy
  • Analyse new portfolio investments in accordance with home and host country regulations
  • Review of the contractual documentation: investment profile, investment strategy and indemnity letter.
  • Suitability check between the investment strategy signed by the client and his/her risk investment profile at on-boarding and during the whole life of a policy.
  • Setup of rules and investment strategies in the system
  • Provide monthly and quarterly reporting to partners, clients & other departments on regulatory and investment strategy breaches and follow-up and implementation of mitigation actions with external investment managers in case of deviation of investment regulations
  • Deal with day-to-day queries from Sales and Client services regarding investment compliance and monitoring


Relationships and influencing

  • Adopt a professional and ethical attitude
  • Ensure a professional and reliable service to clients and internal and external services


Your Profile

Functional / Technical Skills

  • In a Master degree in Finance, Economics or equivalent
  • Good knowledge on investment instruments and financial environment
  • Good knowledge of MS Office, especially Excel

Other Skills

  • Fluent in English
  • Able to deal, with facts, figures and adherence to systems
  • Well organised with a methodical approach to work
  • Able to gather and process information efficiently
  • Team player whilst able to work independently
  • Mature, independent, flexible
  • Problem solving skills
  • Confident and professional approach to dealing with clients and colleagues
  • Customer orientated

Please apply with your CV to: Natacha Joseph

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