About this role
Overview
The Opportunity:
The Portfolio Management Compliance ("PMC") Associate is responsible for helping to support Portfolio Management Compliance team tasks, requirements, and protocols within the Fisher Group of companies. The PMC Associate works cross-functionally with the members of the Fisher European Entities Legal and Compliance Department ("LCD") to help them satisfy their portfolio management regulatory requirements. The Associate is a member of the Portfolio Management Compliance team, which acts as primary liaison between the Portfolio Management Group (PMG) and LCD with regard to all Fisher European Entities Portfolio Management policies, procedures, and regulatory requirements.
The Day-to-Day:
Oversees assigned operational tasks to completionIdentifies, creates and develops documentation for groupSupports the growth of the business through various projectsFollows group and firm policies and proceduresIdentifies potential process improvements and recommends solutionsIdentifies elevations and routes appropriatelyResponsible for properly handling sensitive and/or confidential documentsFollows documented policies and procedures of the Portfolio Management Compliance team to competently, effectively, and efficiently meet regulatory reporting requirementsMonitor established controls to ensure all required trade reporting obligations to local regulators of the Fisher European Entities are being met in a timely and accurate manner according to MiFIR and EMIR guidelines, elevating to a senior member of the team if issues ariseResponsible for the timely completion of trade exception reportsExecutes on internal trade process adherence reporting, elevating flags as neededResponsible for all Fisher European Entities Trading Practices Committees documentation and meeting minutes Your Qualifications:
University Degree or equivalent combination of education and experience required1+ years of experience in investment management regulatory compliance preferredWorking knowledge of European regulatory framework, particularly EMIR and MiFID IIProven experience of working both independently and in a team-oriented, collaborative environmentAbility to conform to shifting priorities, demands and timelines through analytical and problem-solving capabilitiesExcellent oral and written communication skillsWorking knowledge of MS Office and Salesforce is preferableAble to interface with different departments within the company Why Fisher Investments:
We work for a bigger purpose: bettering the investment universe. We take great pride in our inclusive culture, our learning and development framework customized for every employee, and our Great Place to Work Certification. It's the people that make the Fisher purpose possible, and we invest in them by offering exceptional benefits like:
100% paid medical, dental and vision premiums for you and your qualifying dependentsA 50% 401(k) match, up to the IRS maximum20 days of PTO, plus 10 paid holidays Family Support programs including 8 week Paid Primary Caregiver Leave, $10,000 fertility, family forming, and hormonal health assistance, and back-up child, adult, and elder careThis is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change. FISHER INVESTMENTS IS AN EQUAL OPPORTUNITY EMPLOYER