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Compliance Officer

1 month ago

Dublin, Ireland Fisher Investments Full time

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
  • 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