Fisher Investments Luxembourg – Dublin Branch 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. 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 policies.
* 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.
Why Fisher Investments Ireland:
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 Ireland 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.
*Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.
FISHER INVESTMENTS IRELAND IS AN EQUAL OPPORTUNITY EMPLOYER.
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