Karina LEGOINHA
Compliance Manager – AIFM (Luxembourg)
Profil professionnel
Compliance Manager – AIFM (Luxembourg) 8+ years as Compliance Officer in asset management with in-depth expertise in AIFM Directive and Luxembourg fund structures (RAIF, SIF, SCSp). Expertise in compliance monitoring programmes (CMP) and outsourcing/delegated functions oversight.
Vue d'ensemble
10
10
years of professional experience
4034
4034
years of post-secondary education
Expérience
Compliance Senior associate
GIP (Global infrastructure Partners) - AIF
Luxembourg
01.2023 - 08.2024
- Implemented new policies, including AML policy for funds located in the Grand Duchy of Luxembourg, the supervision of third parties procedure,..)
- Ensured periodic compliance reports for the AED and managed correspondence related to AED Appointment (RR and RC for unregulated funds)
- Conducted initial due diligence on services providers
- Conducted ongoing monitoring (KPIs), with a specific focus on transfer agents, by reviewing investor information (investor types, presence of PEP/NPO, number of block accounts, AuM, etc.)
- Organized the AML questionnaire for unregulated funds for the AED
- Developed the risk appetite framework for GIP funds
Compliance Manager
IQ EQ Fund Management (Luxembourg) S.A. - AIFM
Luxembourg
03.2022 - 01.2023
- Conducted due diligence on services providers, including initial due diligence during the onboarding process and ongoing monitoring
- Managed the AML questionnaire for the CSSF
- Administered notification 15-612 for unregulated funds (RAIF, SLP, SCSp)
- Handled other communication with the CSSF
- Coordinated activities with both external and internal auditors
Compliance officer
Quilvest Capital Partners AM S.A. - AIFM
Luxembourg
09.2017 - 02.2022
- Implemented controls within the Compliance Monitoring Plan, assessed compliance risks and issued recommendations to ensure that the AIFM's adherence to all relevant legislation, regulations, and CSSF Circulars
- Coordinated the AML/KYC process and AML reviews, including client onboarding, daily screening name control, transaction monitoring, AML risk assessment on the asset side, fund investments, and assessment of the fund initiators
- Managed the AML questionnaire for the CSSF since 2017
- Administered Notification 15-612 for the unregulated funds (RAIF, SLP, SCSp)
- Conducted due diligence on delegates: including follow-up, on site visits and analysis of compliance-related issues
- Formalized due diligence of distributors: follow-up, on-site visits and analysis of responses
- Prepared periodic compliance reports for the CSSF (AML/CFT, Branches, Complaints handling client) and maintained correspondence with the CSSF
- Developed periodic internal compliance reports for the group, board of directors and committee (annual, quarterly reporting, Risk and audit Committee report)
- Liaised with external parties such as auditors and delegates.
Compliance Advisor
PWC (PricewaterhouseCoopers) - Audit
Luxembourg
10.2016 - 07.2017
- Conducted compliance analyses for UCITS funds, including eligibility assessments and investment reviews.
- Performed tests on investment policies, risk monitoring, diversification, and counterparty risk.
Compliance officer
Société Générale - PSF
Luxembourg
08.2015 - 09.2016
- Oversaw fund investment restrictions for UCITS funds, including policy reviews, breach notifications, and eligibility assessments of assets (investment securities, money market, OTC).
Financial analyst
Sogelife Société Générale - Insurance
Luxembourg
03.2015 - 06.2015
- Configured and updated fund information in the computer system in accordance with the Prospectus
Risk Analyst
Luxcellence Management Company S.A. - ManCo
Luxembourg
01.2015 - 02.2015
- Performed risk analysis, including annual performance reviews and SRRI calculations for KIID reports (CESR/10-67).
- Updated data and risk metrics in STATPRO and reviewed performance and benchmarks using Bloomberg.
Administrator AML/KYC
CALI Crédit Agricole - Insurance
Luxembourg
07.2014 - 09.2014
Formation
M2 Compliance -
House of Training
LuxembourgMaster in Finance - Financial Engineering and Capital Markets
ISEG Paris Graduate Business School
Paris, FranceBachelor of Law - undefined
University of Pau
Pau, FranceTwo-year program diploma - Sales techniques
Dax, FranceCompétences
- Word
- Excel
- PowerPoint
Informations complémentaires
· ALCO – Member since December. Awaiting participation in working groups
· Women in Compliance – Membership pending approval
Langues
French
Bilingue
Spanish
Courant
English
Opérationnel
INTERESTS
· Entrepreneurship with a focus on real estate
· Real estate investment opportunities
· Cryptocurrencies and blockchain technologies
Chronologie
Compliance Senior associate
GIP (Global infrastructure Partners) - AIF
01.2023 - 08.2024
Compliance Manager
IQ EQ Fund Management (Luxembourg) S.A. - AIFM
03.2022 - 01.2023
Compliance officer
Quilvest Capital Partners AM S.A. - AIFM
09.2017 - 02.2022
Compliance Advisor
PWC (PricewaterhouseCoopers) - Audit
10.2016 - 07.2017
Compliance officer
Société Générale - PSF
08.2015 - 09.2016
Financial analyst
Sogelife Société Générale - Insurance
03.2015 - 06.2015
Risk Analyst
Luxcellence Management Company S.A. - ManCo
01.2015 - 02.2015
Administrator AML/KYC
CALI Crédit Agricole - Insurance
07.2014 - 09.2014
Bachelor of Law - undefined
University of Pau
Two-year program diploma - Sales techniques
M2 Compliance -
House of Training
Master in Finance - Financial Engineering and Capital Markets
ISEG Paris Graduate Business School