Compliance Officer

Job description

Overview The Opportunity: As a Fisher Investments Luxembourg Compliance Officer, you will take appropriate action concerning queries, and requests for approval arising from the client on-boarding program. You will also assist the implementation of the AML Monitoring Programme. Reporting to the Head of Compliance/MLRO, you will be part of a small and extremely collaborative team which prides itself in producing high-quality work. The Day-to-Day: - Monitor and promptly respond to queries and requests relating to the client on-boarding process - Review and approve/reject process exception requests - Communicate with senior management and fellow compliance colleagues concerning such requests - Create and clearly explain a supportable rationale behind the decision-making within cases - Perform daily monitoring reviews and other such compliance control tasks as detailed in the team procedures - Help develop the AML Compliance Framework and AML Monitoring Plan - Conduct AML reviews using the AML Monitoring Plan and discussing any matters that arise with the MLRO - Help with updates to the firms suite of procedures ensuring adherence to relevant laws and regulations - Review and approve/re...