Compliance Officer

Overview

Fisher Investments Luxembourg – Dublin Branch (in Dublin, Ireland) 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 in Dublin, Ireland. 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, CBI 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, French, Dutch, and/or Danish language skills a considerable advantage

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

*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