Overview

The Opportunity:

As a Fisher Investments Luxembourg Compliance Officer, you will take appropriate action concerning queries, and requests for approval arising from the client on-boarding program. You will also assist the implementation of the AML Monitoring Programme. Reporting to the Head of Compliance/MLRO, you will be part of a small and extremely collaborative team which prides itself in producing high-quality work.

The Day-to-Day:

Monitor and promptly respond to queries and requests relating to the client on-boarding process
Review and approve/reject process exception requests
Communicate with senior management and fellow compliance colleagues concerning such requests
Create and clearly explain a supportable rationale behind the decision-making within cases
Perform daily monitoring reviews and other such compliance control tasks as detailed in the team procedures
Help develop the AML Compliance Framework and AML Monitoring Plan
Conduct AML reviews using the AML Monitoring Plan and discussing any matters that arise with the MLRO
Help with updates to the firms suite of procedures ensuring adherence to relevant laws and regulations
Review and approve/reject marketing and advertising submissions
Help ensure branch policies are appropriately tailored to comply with laws and regulations, while remaining aligned with group policies
Assist with the Firm’s Financial Crime, and Business Wide Risk Assessments, with a view to leading their completion in due course
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
Attend and contribute to committee and project meetings to help ensure successful outcomes on business and regulatory projects, which enhance the compliance culture
Help advise on regulatory implications with new programs, ensuring that relevant compliance considerations and resulting risks are part of the process
Monitor, analyse and interpret regulatory changes which affect the business and help perform gap analysis on those regulations, while also ensuring business awareness of requirements
Promote a positive compliance culture, that creates awareness through the development and roll out of appropriate and tailored training for staff
Stay informed about guidance, consultation papers and thematic reviews from the CSSF, and attend industry seminars to keep senior management informed about important topics
Assist the Head of Compliance with governance reporting and related items

Your Qualifications:

Minimum 5 years of experience in a Compliance role within a regulated firmExperience leading or assisting to lead an AML Compliance Programme
Degree educated
Experience educating first line departments on regulatory matters and how to handle challenges from individuals in the business
Danish and/or Dutch language skills a considerable advantage as well as any relevant experience in the Insurance industry
CAMS qualification preferable but not essential

Your Benefits:

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 and dental 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 11 paid holidays
Enhanced maternity pay package with 26 weeks’ top up to full base pay for eligible employees
$10,000* fertility, hormonal health and family-forming benefit
A retirement pension plan, featuring a 9% company pension contribution of your base pay and an additional company match of up to 5% of base pay
Monthly gym subsidy of up to €50 per month
Employee Assistance Program and other emotional wellbeing services
A collaborative working environment that practices ongoing training, educational support and employee appreciation events
This is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change.

*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

Compliance Officer

Benefits

Job Description