Compliance Officer

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:

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