Compliance Officer

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 :

line role within a regulated firm

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 :

FISHER INVESTMENTS LUXEMBOURG IS AN EQUAL OPPORTUNITY EMPLOYER