Compliance Analyst

Overview

Fisher Investments Luxembourg (Fisher Investments Luxembourg or "FIL") is a wealth manager offering portfolio management tailored to clients' long-term goals. 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 a Compliance professional to join our Compliance team as an Analyst.

The Compliance Analyst will assist Fisher Investments Luxembourg and its employees to operate within and comply the applicable regulations.

The Analyst will be part of a small and extremely collaborative team which prides itself in producing high-quality work, and will assist and report to the Chief Compliance Officer on several compliance tasks within the team.

The Day-to-Day:

• Aid with maintaining the compliance framework
• Help with the firm's compliance regarding AML/CFT requirements and with completion of AML risk assessments
• Monitor AML/CFT on an ongoing basis
• Assist in updating our procedures to effect any changes in regulation / legislation
• Keep on top of new CSSF thematic reviews, guidance to the industry
• Provide compliance support to various areas within the firm
• Help prepare the quarterly compliance reports to the board
• Help provide compliance training in the areas of Compliance Induction, AML, Conflicts of Interest, Suitability, Market Abuse and others
• Help with the daily administration of the compliance function
• Aid certain aspects of CSSF regulatory reporting for both the firm and its branches in other European jurisdictions
• Assist with the ongoing Compliance Monitoring Programme and with overseeing the outsourced activities

Your Qualifications:

• 2+ years of regulatory compliance and compliance advisory experience
• An AML/CFT background would be desirable
• Experienced in reading, understanding and summarising in simple language lengthy regulatory publications
• Ability to educate the first line departments on regulatory matters and to handle challenges from individuals in the business
• An understanding knowledge of investment suitability and financial promotions regulations
• An understanding of financial markets, financial instruments and market awareness
• An understanding of discretionary portfolio management, asset management, pension advice and regulatory requirements relating to retail and professional clients

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

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