Portfolio Management Compliance Associate

About the role

The Portfolio Management Compliance (“PMC”) Associate supports the Portfolio Management Compliance team tasks, requirements, and protocols within the Fisher Group of companies. They work cross-functionally with the Fisher European Entities Legal and Compliance Department (“LCD”) to ensure regulatory requirements are satisfied.

Responsibilities

• Oversees assigned operational tasks to completion
• Identifies, creates, and develops documentation for the group
• Supports the growth of the business through various projects
• Fulfills group and firm policies and procedures
• Identifies potential process improvements and recommends solutions
• Identifies elevations and routes appropriately
• Handles sensitive and confidential documents in accordance with policies
• Maintains compliance with regulatory reporting requirements under MiFIR and EMIR guidelines
• Executes on internal trade process adherence reporting, elevating flags as needed
• Manages Fisher European Entities Trading Practices Committees documentation and meeting minutes

Requirements

• 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

Qualifications

• Able to interface with different departments within the company

Skills

• Strong organizational and time management skills
• Attention to detail
• Ability to prioritize and manage multiple tasks simultaneously

Benefits

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