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Overview:
Fisher Investments Luxembourg (FIL) is a wealth manager offering portfolio management tailored to clients' long-term goals. FIL is also an insurance intermediary firm. Client assets are held at recognised European custodians and sub-managed by Fisher Investments Luxembourg parent company, Fisher Investments in the United States.
**The Opportunity**:
FIL is searching for an experienced Compliance professional to join our Compliance team as an Officer. As a Compliance Officer, you will help ensure the Firm and its employees are in demonstrable compliance with applicable regulations. You will be part of a small and extremely collaborative team which prides itself in producing high quality work at all times. You will report to the Chief Compliance Officer.
**The Day-to-Day**:
- Help develop the Compliance Framework and Compliance Plan, including leading development and implementation
- Advise on regulatory implications for new business initiatives, ensuring that relevant compliance considerations and resulting risks, are part of the process
- Perform compliance monitoring and testing in accordance with the Compliance Monitoring Plan and Firm Risk framework
- Conduct annual reviews and updates to our suite of policies and procedures ensuring adherence to relevant laws and regulations
- Tailor processes and procedures to take account of local laws and regulations while remaining aligned to group polices
- Prepare and deliver reports to governance Committees, support Board reporting
- Represent FIL Compliance at project meetings and other business initiatives to help to ensure successful regulatory and business outcomes
- Promote a positive compliance culture and awareness through the development and roll out of appropriate and tailored training for staff
- Stay informed about the legislative and regulatory landscape including EU and Irish guidance, consultation papers and thematic reviews, attending industry seminars
- Monitor, analyse and interpret regulatory changes which affect the business and perform gap analysis on those regulations, delivering the result to Senior Management
- Engage with FIL Senior Management on regulatory matters, providing oversight, challenge, guidance, and support
- Help with certain aspects of regulatory reporting for both our company and its branches in other European jurisdictions
- Perform ad-hoc compliance tasks as reasonably directed by the Head of Compliance
**Your Qualifications**:
- Bachelor/Master degree with minimum of 4 years of experience in a Compliance/2nd line role within a regulated firm
- Knowledge of CSSF, regulations and practices
- Knowledge of CAA laws, regulations and practices an advantage
- Experience leading or assisting to lead a Compliance Programme
- Degree educated
- Experience collaborating with Senior Management in a multi-jurisdiction enterprise
- Fluent in English. French, Dutch, and/or Danish language skills a considerable advantage
**Why Fisher Investments Luxembourg**:
The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. You can feel confident knowing that Fisher Investments and Fisher Investments Luxembourg align with our clients’ priorities by using a simple and transparent fee structure and recognised European custodians.
It’s the people that make the Fisher purpose possible, and to help our employees meet their long-term goals, we offer an array of benefits, including:
- 100% paid premiums for our top-tier supplemental healthcare plan (includes medical, dental, vision) for employees and their qualified dependents
- 28 days annual leave with the ability to purchase up to 3 additional days per year, plus up to 11 paid holidays
- A supplemental retirement pension plan featuring a 4% contribution of base pay up to the social security ceiling and 12% for base pay over the ceiling, as well as a 50% match on personal contributions up to €600 annually
- Up to €219.60 in employer-paid monthly lunch vouchers
- Gym subsidy of up to €50 per month
- $10,000* fertility, hormonal health and family-forming benefit
- A collaborative working environment that practises ongoing training, educational support and employee appreciation events
- _Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency._
FISHER INVESTMENTS LUXEMBOURG IS AN EQUAL OPPORTUNITY EMPLOYER
