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Compliance Officer

Luxembourg City, Luxembourg


Job Description


Fisher Investments Luxembourg Sàrl (Fisher Investments Luxembourg or “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 Insurance Compliance professional to join the department as a Compliance Officer ("CO"). You will assist Fisher Investments Luxembourg and its employees in following applicable regulations. You will be part of a collaborative team which prides itself in producing high-quality work, and will report to the Chief Risk & Compliance Officer on several tasks. You will further deputize (where necessary) for the Chief Risk & Compliance Officer


You will gain broad exposure to both insurance and MiFID businesses.


The Day-to-Day:

  • Providing compliance advice to collaborators at all levels, regarding the practical application of insurance, intermediary broker, and other regulations to ensure business products and their operations are compliant.
  • Become a subject matter regulatory expert for Insurance Products and operations of the Insurance Wealth Solutions department
  • Conduct research related to business insurance operations and provide solutions to address our needs
  • Help complete compliance risk assessments.
  • Evaluate business operations process and their effectiveness and Provide ongoing training to partners.
  • Assist the business to develop Operating Policies&procedures and providing guidance on existing processes,
  • Develop compliance reviews, monitoring, testing and control activities for insurance operations
  • Contribute to the KYC onboarding and due diligence of our clients (Insurance and MiFID)
  • Help with certain aspects of regulatory reporting for both our company and its branches in other European jurisdictions

Your Qualifications:

  • Bachelor/Master degree with 3+ years' experience in a regulated environment preferably acquired in an insurance company or insurance intermediary firm
  • An AML/CFT background and MIFID II is required
  • Knowledge of CAA and CSSF laws, regulations and practices
  • Fluent in English and French
  • Strength of convictions and ability to champion product, administrative or operational changes.
  • Understand important business risks, marketplace and regulatory environment

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.





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