Portfolio Management Compliance Associate
Overview:
The Opportunity:
The Portfolio Management Compliance (“PMC”) Associate (“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
- 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
- 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
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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