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Portfolio Management Compliance Associate | Plano, TX, USA
Job
Fisher Investments
Remote
Full-Time
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Job Description
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 completion
- Identifies, creates and develops documentation for group
- Supports the growth of the business through various projects
- Follows group and firm policies and procedures
- Identifies potential process improvements and recommends solutions
- Identifies elevations and routes appropriately
- Responsible for properly handling sensitive and/or confidential documents
- Follows documented policies and procedures of the Portfolio Management Compliance team to competently, effectively, and efficiently meet regulatory reporting requirements
- Monitor 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 arise
- Responsible for the timely completion of trade exception reports
- Executes on internal trade process adherence reporting, elevating flags as needed
- Responsible for all Fisher European Entities Trading Practices Committees documentation and meeting minutes
Your Qualifications:
- University Degree or equivalent combination of education and experience required
- 1+ years of experience in investment management regulatory compliance preferred
- Working knowledge of European regulatory framework, particularly EMIR and MiFID II
- Proven experience of working both independently and in a team-oriented, collaborative environment
- Ability to conform to shifting priorities, demands and timelines through analytical and problem-solving capabilities
- Excellent oral and written communication skills
- Working knowledge of MS Office and Salesforce is preferable
- Able 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 dependents
- A 50% 401(k) match, up to the IRS maximum
- 20 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 care
- This is an in-office role.