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Compliance Officer

Fisher Investments Luxembourg Luxembourg, Luxembourg
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Fisher Investments Luxembourg 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:

  • Provide advice to the business on appropriateness and effectiveness of controls in place and the application of regulations and guidance to the business activities of the Firm
  • 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 laws, 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 and 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 €144 in employer-paid monthly lunch vouchers
  • Gym subsidy of up to €50 per month
  • 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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