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Compliance Officer

Fisher Investments UK London, United Kingdom
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The Opportunity:

FIUK is looking for an experienced Compliance professional to join the Compliance Team. FIUK Compliance plays a critical role in enabling the firm to continue to provide the right products and services to its clients by enabling the firm to provide excellent customer outcomes whilst protecting the firm against regulatory risk.

The Day-to-Day:

  • Assist in the scoping and creation of FIUKs Compliance Monitoring Plan on an annualised and on-going basis, evaluating, identifying and mitigating any emerging regulatory risks, impacting the firm
  • Assist in the review and evaluation of compliance monitoring methodologies and guidelines on an annualised basis
  • Produce succinct Management Information for distribution to senior managers, governance committees and risk forums
  • Challenge the current status quo and assist the business with implementing effective regulatory change projects
  • Evaluate and identify regulatory requirements application to FIUK and ensure internal policies and procedures meet regulatory standards, mitigating any potential gaps/deficiencies
  • Act as the main point of contact for 2LOD oversight of the firms trading practices, best execution, transaction reporting requirements and market abuse controls
  • Liaise with business Risk Owners and senior business managers to ensure that compliance findings and regulatory changes are discussed and understood by the business line. Ensure robust remedial action plans or business change processes are agreed to mitigate any identified control deficiencies
  • Partner with Risk to map regulatory findings to FIUKs risk management framework and regulatory dashboards
  • Perform other compliance and regulatory tasks as directed by compliance management


  • Compliance qualification from ICA, CISI or an equivalent recognised body
  • Regulatory experience, preferably acquired either within a financial advisory or wealth management firm or within commercial banking
  • Experience of compliance methodologies for monitoring activities
  • Knowledge of the FCA Handbook, particularly COBS, SYSC, DISP, TC etc. and EU regulations such as MiFID II, MiFIR and GDPR
  • Hands-on attitude, with a flexible approach, enthusiasm and a keen aspiration to learn, actively contributing to develop the compliance culture within the firm, leading by example
  • Ability to influence individuals at all levels within a business environment, particularly senior stakeholders such as Heads of Business, VPs and Team Leaders

Why Fisher Investments Europe:

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 we align with our clients’ best interests 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 medical, dental and annual health screening plans 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 8 paid holidays
  • Enhanced maternity pay package with 16 weeks’ top up to full base pay for eligible employees
  • A retirement pension plan, featuring a 9% company contribution of base pay with an additional company match of up to 5% of base pay on personal contributions
  • Gym subsidy of up to £50 per month
  • Employee Assistance Program and other emotional wellbeing services
  • A collaborative working environment that practises ongoing training, educational support and employee appreciation events

We take great pride in our inclusive culture. We value the different perspectives and unique skills you bring to the team – it makes us all better. Success at Fisher Investments is motivated by results, a collaborative mindset and a commitment to accomplishing great things – so if you are ready to do that, we are ready for you! Apply today to be a part of a team environment where you make a difference in the lives of people by bettering the investment universe.


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