Head of Compliance/Conducting Officer & MLRO (Fintech)

TL;DR

Head of Compliance/Conducting Officer & MLRO (Fintech): Building and managing a robust compliance framework for a private-markets fintech with an accent on regulatory governance, AML controls, and MIFID/AIFMD compliance. Focus on advising senior management, overseeing monitoring obligations, and strengthening compliance culture across UK and European operations.

Location: Luxembourg

Company

Fintech business providing private-markets solutions.

What you will do

• Lead compliance activities for the MIFID-regulated entity and act as MLRO/Conducting Officer for the Luxembourg entity.
• Ensure compliance with UK, Luxembourg, and EU regulatory requirements.
• Develop and maintain compliance policies, procedures, controls, and monitoring processes.
• Prepare internal and external compliance reports and escalate findings to senior management.
• Advise senior management on regulatory changes, risks, and obligations.
• Deliver compliance training and guidance across the organisation.

Requirements

• 7+ years of experience in compliance, ideally within financial services, investment management, or private banking in Luxembourg.
• Relevant qualification such as ICA, CAMS, or CISI.
• Strong knowledge of AIFMD and MIFID regulations.
• Practical experience with AML, CFT, and KYC frameworks.
• Fluent English required.

Nice to have

• French or German language skills.
• Knowledge of using AI for compliance-related tasks.

Culture & Benefits

• High-impact leadership role during an important stage of company growth.
• Opportunity to shape the organisation’s compliance culture and governance framework.
• Application and accessibility support is available through the recruitment consultant.