Analyst - Risk and Compliance

Apex Group; Valencia; On-site; EUR 36,000 - 48,000; Full time

Job summary

Apex Group in Valencia seeks an Analyst to support operational day-to-day activity of the Investment Compliance Team, focusing on UCITS/AIF compliance monitoring across various funds and asset classes. The role requires strong analytical skills and fluency in English.

Based in Valencia with close collaboration to the Luxemburg team, you will implement procedures, report breaches, and assist with regulatory reporting while maintaining stakeholder communication and timely deliverables.

Qualifications

• Academic background in Finance/Economics/Accounting or other numerical discipline.
• FRM or CFA designation is an asset.
• Experience with investment compliance monitoring, related systems/tools and regulatory requirements.
• Knowledge of Luxembourg and European regulatory framework (UCITS, AIFMD, CESR/ESMA guidelines).
• Proficiency in Microsoft Office.

Responsibilities

• Perform regular monitoring of investment compliance for UCITS/AIF under management (investment objectives & policies, and investment regulations & restrictions).
• Investigate and communicate the status of exceptions identified in relation to investment compliance restrictions, assess and propose classification of breaches including CSSF reporting.
• Contribute to ensuring the implementation and on-going review of procedures and policies related to investment compliance monitoring and risk management.
• Identify and monitor the risk profile of UCITS/AIF under management.
• Take an active part in the processes and systems enhancement by challenging, maintaining and contributing to the development of existing processes.
• Follow-up of compliance issues and maintain the communication with fund’s stakeholders such as investment managers, administrators, auditors, etc.
• Work closely with other departments and provide support to the clients with ad-hoc queries, new products, funds and/or strategies.
• Assist with regulatory reporting and ensure feedback and support to colleagues and management.

Skills

Communication skills

Analytical thinking

Critical thinking

Problem solving

Education

Finance/Economics/Accounting background

FRM or CFA designation (asset)

Tools

Microsoft Office

Job description

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers.Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience.Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.For our business, for clients, and for youAnalyst - Risk and ComplianceDepartment: Risk & Investment ComplianceContract type: PermanentLocation: ValenciaFundRock Management Company S.A. (Apex group) is a leading third-party Management Company providing services to EU domiciled collective investment schemes in accordance with Luxembourg and Irish regulations. To sustain the growing activity we are looking for a motivated Analyst to support operational day-to-day activity of the Investment Compliance Team based in Luxemburg. Working with liquid investment funds, the Analyst will support the Investment Compliance monitoring for a variety of fund structures and asset classes.Key Responsibilities include:Perform the regular monitoring in relation to investment compliance restrictions for UCITS/AIF under management (investment objectives & policies, and investment regulations & restrictions).Investigate and communicate the status of exceptions identified in relation to investment compliance restrictions (regulatory or fund specific), assess and propose classification of breaches including inter alia CSSF reporting pursuant to Circular 24/856.Contribute to ensuring the implementation and on-going review of procedures and policies related to investment compliance monitoring and risk management.Identify and monitor the risk profile of UCITS/AIF under management.Take an active part in the processes and systems enhancement by challenging, maintaining and contributing to the development of existing processes.Follow-up of compliance issues and maintain the communication with fund’s stakeholders such as investment managers, administrators, auditors, etc.Work closely with other departments and provide support to the clients with ad-hoc queries, new products, funds and/or strategiesAssist with regulatory reporting and ensure feed-back and support to colleagues and managementRequirements / Qualifications:Education and Knowledge: Academic background in Finance/Economics/Accounting or other numerical discipline; FRM or CFA designation is an asset;Experience with investment compliance monitoring, related systems/ tools and corresponding regulatory requirements.Knowledge of Luxembourg and European regulatory framework (UCITS, AIFMD, CESR/ESMA guidelines);Good command of Microsoft Office;Excellent communication, analytical and critical thinking skills with a solution-oriented mind-set, with the ability to prioritize and to keep deadlines;Full professional proficiency in written and spoken English.Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.