▷ (Immediate Start) Compliance Officer

4 weeks ago

Dublin, Ireland Fisher Investments UK Full time

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
- 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

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