Investment Compliance Analyst — UCITS/AIF Risk & Monitoring

CO_GSCAPX-VAL Apex Financial Services Spain, SL; Valencia; On-site; EUR 32,000 - 52,000; Full time

Job summary

Apex Group is seeking an Analyst in Risk & Investment Compliance to support day-to-day investment compliance monitoring for UCITS/AIF funds. The role involves evaluating regulatory adherence, handling exceptions, and communicating with fund stakeholders within a Luxembourg-based framework, while collaborating across departments.

Ideal candidates have a finance/economics background, familiarity with UCITS/AIFMD, and strong English communication skills to coordinate regulatory reporting and policy

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).
• Good command of Microsoft Office.
• Full professional proficiency in written and spoken English.

Responsibilities

• 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 strategies
• Assist with regulatory reporting and ensure feed‑back and support to colleagues and management

Skills

Communication skills

Analytical thinking

English proficiency

Regulatory knowledge

Education

Finance/Economics/Accounting background

Tools

MS Office

Job description

Apex Group is seeking an Analyst in Risk & Investment Compliance to support day-to-day investment compliance monitoring for UCITS/AIF funds. The role involves evaluating regulatory adherence, handling exceptions, and communicating with fund stakeholders within a Luxembourg-based framework, while collaborating across departments.

Ideal candidates have a finance/economics background, familiarity with UCITS/AIFMD, and strong English communication skills to coordinate regulatory reporting and policy