Ambitious and energetic qualified funds lawyer with a genuine interest in fund matters, and seeking to further develop career in alternative investment funds (AIFs) as well as in other related matters. I have acquired a valuable experience in structuring Luxembourg investment funds and want to pursue my career as a funds structuring lawyer of colllective investment schemes and AIFs. Highly motivated team player with an ability to prioritize work effectively and maintain a professional approach whilst working under pressure. I also enjoy working in a creative and challenging environment. A position, which is challenging requires drive, assertiveness, strategic ability and which enables me to deal with a variety of tasks in an independent manner.
Senior Legal Adviser
SMBC Nikko Bank (Luxembourg) S.A.
Since December 2015
Full-time
Luxembourg
- Drafting and finalising prospectus and offering memorandums of Luxembourg domiciled funds (Part II funds of the amended 2010 Law) and of Cayman Islands mutual funds regulated by the Cayman Islands Monetary Authority (CIMA)
- Drafting and finalising Central Administration Agreement/Custodian Agreement/Registrar and Transfert Agency Agreement/AIFMD Depositary Agreement/Sub-Custodian Agreement/Side Letters/Power of Attorney
- Drafting and finalising the 2002 ISDA Master Agreements and its Schedule and the Credit Support Annex as well as the 2016 Credit Support Annex for Variation Margin
- Implementing of compliance policies and ensuring the ongoing identification, assessment and management of compliance risks relating to the current and future activities of the Bank
- Maintaining and implementing the risk-based compliance monitoring program
- Performing detailed reviews of specific regulatory issues to establish the impact on internal systems and procedures
- Participating actively in the drafting of policies and procedures, not limited to just compliance matters
- Performing the KYC review, including complex cases by using WorldCheck as well as assessing client and country risk prior to account opening. Performing name checking and daily screening and monitoring of the Bank's transactions using COFI software
- Performing due diligence whilst onboarding new clients/investors under the OECD "Common Reporting Standard (CRS)"/Filing FATCA & CRS Entity-Self Certification Forms for Cayman Islands mutual funds
- Assisting and providing legal advice to the Bank's staff at all levels and support it on compliance related matters and projects, including with regards to the Anti-Money Laundering and Combating Terrorist Financing (AML/CTF), Data Protection, AIFMD, CRD IV, CRR, CRS, CSD, EMIR, FATCA, Market Abuse, MiFID II/MiFIR, QI Agreement, SFTR
- Liaising with the "Commission de Surveillance du Secteur Financier (CSSF)" on any notifications required by the amended CSSF Circular 12/552 and any other its Circulars
- Performing research of statutes, regulations, cases and legal updates and ensure that the affected staff are informed of the relevant legal developments
- Completing AML/CTF Questionnaires from other bank counterparties/Completing the Wolfsberg questionnaire (2014 version)
- Filing and completing the FATCA & CRS Entity Self-Certification and Form W-8BEN
- Filing applications to the CSSF for new members of the Bank's Board of Directors
- Liaising with the trustees representing mutual funds administered by the Bank as well as their management companies
- Performing the ongoing regulatory watch by keeping new laws and regulations in a specific log and by assessing the impacts of the new regulations for the Bank