Portfolio Management Compliance Analyst

Overview:
The Opportunity:

The Portfolio Management Compliance (“PMC”) Analyst (“Analyst”) is responsible for helping to perform Portfolio Management Compliance team tasks, requirements, and protocols within the Fisher Group of companies. The PMC Analyst works cross\-functionally with the members of the Fisher Group Legal, Communications, and Compliance Department (“LCCD”) to help Fisher entities satisfy their portfolio management regulatory requirements. The Analyst is a member of the Portfolio Management Compliance team, who provide oversight and challenge of the Fisher Group fulfilment of trading\-related requirements. The Day\-to\-Day:

• Monitors compliance of the Fisher trading function business to completely and efficiently meet regulatory requirements, particularly in relation to regulatory reporting


• Ensure all required trade reporting to local regulators of the Fisher Group is 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


• Monitor regulatory changes which affect the business and perform gap analysis on those regulations


• Monitors internal trade process adherence reporting, elevating flags as needed


• Works closely with the CGA team (Client Guidelines and Assurance), as appropriate


• Responsible for quarterly and annual funds (US, Australian, Irish, Canadian) investment fund manager attestations and coordinating with Finance on regulatory reporting


• Coordinates oversight for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTA) exemptions and adherence


• Responsible for procedure review and updates


• Maintain a formal process for International Swaps and Derivatives Association (ISDA) compliance, in addition to the Options Clearing Corporation (OCC IDs), Depository Trust \& Clearing Corporation (DTCC) and other market facing portals


• Contributes towards IMAs and RFPs


• Support projects related to regulatory reporting


• Works onsite, under direct supervision, in a team\-based and open office environment

• Bachelor’s Degree or equivalent combination of education and experience required


• 2\+ years of experience in investment management regulatory compliance preferred


• Working knowledge of both US and European regulatory framework, particularly USPR, EMIR, and MiFID II preferred


• Proven experience of trade execution within a high\-volume trading environment, delivering consistent performance under pressure


• Superior attention to detail and excellent organisational skills


• Excellent oral and written communication skills


• Experience at working both independently and in a team\-oriented, collaborative environment


• Ability to work independently and conform to shifting priorities, demands and timelines through analytical and problem\-solving capabilities


• Working knowledge of MS Office


• Able to interface with different departments within the company

The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. You can feel confident knowing that Fisher Investments and Fisher Investments Luxembourg align with our clients’ priorities by using a simple and transparent fee structure and recognised European custodians.

It’s the people that make the Fisher purpose possible, and to help our employees meet their long\-term goals, we offer an array of benefits, including:

• 100% paid premiums for our top\-tier supplemental healthcare plan (includes medical, dental, vision) for employees and their qualified dependents


• 28 days annual leave with the ability to purchase up to 3 additional days per year, plus up to 11 paid holidays


• A supplemental retirement pension plan featuring a 4% contribution of base pay up to the social security ceiling and 12% for base pay over the ceiling, as well as a 50% match on personal contributions up to €600 annually


• Up to €219\.60 in employer\-paid monthly lunch vouchers


• Gym subsidy of up to €50 per month


• $10,000\* fertility, hormonal health and family\-forming benefit


• A collaborative working environment that practises ongoing training, educational support and employee appreciation events


• This 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.


• *Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.*

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