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Compliance Officer

Fisher Investments Luxembourg Luxembourg, Luxembourg


Fisher Investments Luxembourg (Fisher Investments Luxembourg or "FIL") is a wealth manager offering portfolio management tailored to clients' long-term goals. 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.

The Compliance Officer will assist Fisher Investments Luxembourg and its employees to operate following applicable regulations.

The Officer will be part of a small and extremely collaborative team which prides itself in producing high-quality work, and will assist and report to the Chief Compliance Officer on several compliance tasks within the team.

The Day-to-Day:

  • Aid with maintaining the compliance framework
  • Help with the firms compliance regarding AML/CFT requirements and with completion of AML risk assessments
  • Monitor AML/CFT on an ongoing basis
  • Monitor the management of new entrants by supervisors within the firm
  • Help update our procedures to effect any changes in regulation / legislation
  • Keep on top of new CSSF thematic reviews, guidance to the industry
  • Provide compliance support to various areas within the firm
  • Help prepare the quarterly compliance reports to the board
  • Help provide compliance training in the areas of Compliance Induction, AML, Conflicts of Interest, Suitability, Market Abuse
  • Help with the daily administration of the compliance function
  • Aid certain aspects of CSSF regulatory reporting for both our organization and its branches in other European jurisdictions
  • Help with compliance monitoring programme and with overseeing the outsourced activities

Your Qualifications:

  • 2+ years of regulatory compliance and compliance advisory experience
  • An AML/CFT background would be desirable
  • Experienced in reading, understanding and summarising in simple language lengthy regulatory publications
  • Ability to educate the first line departments on regulatory matters and to handle challenges from individuals in the business
  • An understanding knowledge of investment suitability and financial promotions regulations
  • An understanding of financial markets, financial instruments and market awareness
  • An understanding of discretionary portfolio management, asset management, pension advice and regulatory requirements relating to retail and professional clients

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% coverage of the membership or premium cost for the supplemental healthcare (includes medical, dental, vision) for employees and their qualified dependents*
  • Our supplemental medical provider, DKV, covers a range of conditions and reimbursement options for treatments including dental treatment and orthodontic care. It also includes medical care if needed when travelling abroad
  • 28 days annual leave, increasing to 30 after five years of service, with the ability to purchase up to 3 additional days
  • A supplemental retirement pension to employees, 4% of your base pay up to the social security ceiling and 12% for base pay income over the ceiling. FIL will match employee personal contributions up to a maximum of 50% (or €600 given the current employee maximum is €1200 annually as set by the government)
  • A collaborative working environment that practises ongoing training, educational support and employee appreciation events
  • Monthly gym subsidy*

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.


*Employees responsible for any benefit-in-kind taxes as a result of the premiums/membership costs paid by the Company