Compliance Analyst
Fisher Investments
- Luxemburg
- Unbefristet
- Vollzeit
- 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
- 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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