Compliance Officer / Rc

Position Type :

Full time

Type Of Hire :

Experienced (relevant combo of work and education)

Education Desired :

Bachelor of Business Administration

Travel Percentage :

10 - 15%

Are you curious, motivated, and forward-thinking? At FIS you’ll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented people empower us, and we believe in being part of a team that is open, collaborative, entrepreneurial, passionate and above all fun.

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About the team

The International Compliance Team forms part of the Enterprise Global Compliance Function, with a key focus on supporting the FIS Capital Market Business.

The team has a global reach and responsibility for all aspects of regulatory compliance across Capital Markets entities and ensures that these operate in compliance with all applicable laws, regulations, rules, regulatory guidelines and requirements worldwide. We provide regulatory guidance and compliance support to various stakeholders and senior management across the business and the team consists of experienced legal and compliance professionals. Being supportive, smart, collaborative, inclusive, creative, open and passionate are the core values of the team and our culture.

What you will be doing

The Regulatory Compliance Manager provides support to the organisation in all aspects of the Compliance Framework for the FIS Capital Markets business in Luxembourg. Your responsibilities will include:

• Monitor and communicate regulatory changes that impact Capital Markets products, services and business activities.
• Point of contact for the local regulator, the CSSF
• Interface with legal counsel and local agencies, as needed to address regulatory and/or compliance issues, concerns or questions.
• Assisting board meetings, working alongside with other compliance teams
• Establish operational objectives and work plans (compliance monitoring plan, annual compliance reporting etc.)
• Develop, modify and execute company policies that affect immediate operations.
• Oversee development and implementation of compliance program policies and standards as well as addressing other required regulatory policies.
• Respond to issues and matters pertaining to regulatory compliance of Capital Markets products, services and business activities.
• Perform periodic reviews and evaluations of Capital Markets products, services and business activities to validate compliance with applicable laws and regulations or detect regulatory violations, weak controls or other potential areas of exposure.
• Assist in providing final disposition of any discrepancies regarding compliance issues.
• Ensure strategic objectives of the Compliance & Ethics Program are met, including execution of risk assessment activities, coordination of risk response and program testing and validation.
• Identify key business processes, perform evaluations of risk, assess the effectiveness of controls and promote improvement across the organisation through the deployment of risk response activities.
• Participate in corporate development of methods, techniques and evaluation criteria for projects, programs and people.
• Create and deliver training to other business areas to increase compliance awareness.
• Provide compliance reviews and direction for new and expanding products and services.
• Monitor line of business compliance activities to verify that regulatory compliance deadlines and requirements are met.
• Assist the business with responses to customer compliance-specific questions and concerns.
• Participate with and/or lead customer focus and advisory groups.

What you bring

• Bachelor’s degree in business administration or law or the equivalent combination of education, training, or work experience.
• Proven Compliance experience either in the Asset Management or Financial Services industry.
• Comprehensive knowledge of at least one substantive area of compliance, such as asset management, anti-money laundering, or anti-corruption
• Excellent analytical skills
• Ability to understand technical documents and legal or regulatory reference materials
• Ability to follow and conduct a compliance monitoring program
• Ability to provide information to a variety of audiences and deal effectively with confidential issues that are sensitive in nature
• Fluent in English, other languages are favourable
• Experience interacting with senior leadership, board of Directors and regulators. 

What we offer you

• A competitive salary and benefits
• A multifaceted job with a high degree of responsibility and a broad spectrum of opportunities
• A modern, international work environment and a dedicated and motivated team
• A broad range of professional education and personal development possibilities – FIS is your final career step!

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Sourcing Model

Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

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