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Risk & Compliance Officer

Fisher Investments



The Opportunity:

Fisher Investments Luxembourg (“FIL”) is searching for an experienced Risk & Compliance Officer (“RCO”). You will assist FIL and its employees in operating and observing applicable regulations. You will be part of a collaborative team which prides itself in producing high-quality work and you will report directly to the Chief Risk and Compliance Officer. The Risk & Compliance department manages and minimises relevant regulatory risks, the risk of financial loss, or loss to reputation, which FIL may suffer as a result of its failure to comply with compliance rules and standards.

The Day-To-Day:

Risk area

  • Implement risk management policy and process (“RMP”) observing Luxembourg regulations and best practices
  • Design and implement an ICLAAP
  • Implement a local operational risk framework
  • Monitor compliance with applicable risk laws and regulations
  • Prepare Quarterly and Annual risk reports
  • Monitor risks associated with new investments strategies implemented by the portfolio manager
  • Participate in producing regular and ad-hoc risk related reports to regulators, outlining the current level of risks incurred by clients portfolios and evaluate any actual or foreseeable breach to their asset allocation limits
  • Review the RMP to ensure it is adequate to the risk profile of FIL’s portfolios
  • Close interaction with the group portfolio management function
  • Provide relevant risk trainings

Compliance area

  • Perform assigned tasks of the annual Compliance Monitoring Programme
  • Perform annual review of AML policies and procedures, MIFID procedures, and with completion of AML risk assessments
  • Help with the daily administration of the risk and compliance function
  • Help with certain aspects of CSSF regulatory reporting for both the firm and its branches in other European jurisdictions
  • Implement outsourced activities framework

Your Qualifications:

  • Bachelor/Master degree with 3+ years experience in a regulated environment preferably acquired in a wealth management firm or a bank
  • Knowledge of discretionary portfolio management, asset management, pension advice and regulatory requirements relating to retail and professional clients
  • A good AML/CFT background and MIFID II
  • Experience with CRD and CRR regulations and concepts
  • In-depth knowledge of CSSF laws, regulations and practices
  • A sound understanding of return and risk characteristics of multiple financial asset classes
  • Knowledge of financial markets, financial instruments and market awareness
  • Proficiency in work office tools

Why Fisher Investments Luxembourg:

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% coverage of the membership or premium cost for the supplemental healthcare (includes medical, dental, vision) for employees and their qualified dependents
  • Our supplemental medical provider, DKV, covers a range of conditions and reimbursement options for treatments including dental treatment and orthodontic care. It also includes medical care if needed when travelling abroad
  • 28 days annual leave, increasing to 30 after five years of service, with the ability to purchase up to 3 additional days
  • A supplemental retirement pension to employees, 4% of your base pay up to the social security ceiling and 12% for base pay income over the ceiling. FIL will match employee personal contributions up to a maximum of 50% (or €600 given the current employee maximum is €1200 annually as set by the government)
  • A collaborative working environment that practises ongoing training, educational support and employee appreciation events
  • Monthly gym subsidy

We take great pride in our inclusive culture. We value the different perspectives and unique skills you bring to the team – it makes us all better. Success at Fisher Investments is motivated by results, a collaborative mindset and a commitment to accomplishing great things – so if you are ready to do that, we are ready for you! Apply today to be a part of a team environment where you make a difference in the lives of people by bettering the investment universe.


*Employees responsible for any benefit-in-kind taxes as a result of the premiums/membership costs paid by the Company

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Risk & Compliance Officer

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Fisher Investments


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