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
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 €219.60 in employer-paid monthly lunch vouchers
- Gym subsidy of up to €50 per month
- $10,000* fertility, hormonal health and family-forming benefit
- A collaborative working environment that practises 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
