Investment firms are professionals of the financial sector (PFS) governed by the Law of 5 April 1993 on the financial sector, which carry out, among others, activities as investment advisers, brokers in financial instruments, commission agents or private portfolio managers. They may also act as professionals acting for their own account, market makers, underwriters of financial instruments or distributors of units/shares in UCIs, and perform activities of other PFS.
In this position you will be in charge of the prudential supervision of a portfolio of investment firms.
Role & responsibilities
- Processing requests of investment firms, including the assessment of application files, requests for authorisation as an Invesment Firm and questions regarding the applicable regulatory framework
- Assessment of business models and risks of investment firms, reports of the internal control functions, ICAAP/ILAAP reports and other documents of investment firms, as well as reports of réviseurs d’entreprises agréés (approved statutory auditors)
- Analysing and monitoring the prudential reporting
- Contributing to the supervision with respect to money-laundering prevention and combat of terrorist financing
- Participating in on-site inspections and drafting inspection reports
- Drafting opinions, analytical or observation notes, reports and letters