Compliance Analyst

Compliance Analyst
Region: Luxembourg
Required experience: 2 years
Environment: Company
Contract: Permanent position (Full-time)
Compliance Wealth management
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Company description

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.

More about Fisher Investments

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 
  •  Danish and/or Dutch language skills a considerable advantage 

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