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Portfolio Management Compliance Associate
Job
Fisher Investments
Dallas, TX (In Person)
Full-Time
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Job Description
Experteer Overview In this role you will support the Portfolio Management Compliance team as a liaison with our European LCD partners, helping ensure regulatory adherence for portfolio management. You will handle operational tasks, document creation, and project work to strengthen compliance processes across the PMG and European entities. You will contribute to trade reporting controls under MiFIR and EMIR and help maintain committee documentation. This role offers cross-functional collaboration in a mission-driven, growth-focused environment.
Compensation / Benefits
- Oversee assigned operational tasks to completion
- Create and develop documentation for the group
- Support business growth through projects
- Follow group and firm policies and procedures
- Identify process improvements and recommend solutions
- Route elevations appropriately
- Handle confidential documents securely
- Meet regulatory reporting requirements per MiFIR and EMIR
- Monitor trade reporting controls for Fisher European Entities
- Complete trade exception reports on time
- Produce internal trade process adherence reporting and elevate flags
- Prepare and maintain Fisher European Entities Trading Practices Committees documentation and minutes Tasks
- University Degree or equivalent combination of education and experience
- 1+ years of experience in investment management regulatory compliance (preferred)
- Working knowledge of European regulatory framework, particularly EMIR and MiFID II
- Proven ability to work independently and in a team
- Ability to adapt to shifting priorities and timelines with analytical/problem-solving skills
- Excellent oral and written communication skills
- Working knowledge of MS Office and Salesforce (preferable)
- Ability to interface with different departments Key requirements
- 100% paid medical, dental and vision premiums for you and qualifying dependents
- 50% 401(k) match, up to IRS maximum
- 20 days of PTO, plus 10 paid holidays
- Family support programs including 8 week Paid Primary Caregiver Leave
- fertility and family forming assistance
- back-up child, adult, and elder care