At a Glance
- Tasks: Support compliance tasks and ensure regulatory requirements are met in portfolio management.
- Company: Join Fisher Investments, a company dedicated to bettering the investment universe.
- Benefits: Enjoy 100% paid medical, dental, vision premiums, and generous PTO.
- Other info: Collaborative culture with excellent learning and development opportunities.
- Why this job: Make a real impact in compliance while growing your career in a supportive environment.
- Qualifications: University degree and experience in investment management compliance preferred.
The predicted salary is between 30000 - 40000 £ per year.
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
- Monitors 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 customised 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. 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
Portfolio Management Compliance Associate (PLANO) employer: Fisher Investments
Fisher Investments is an exceptional employer that prioritises the growth and well-being of its employees, offering a supportive work culture and comprehensive benefits, including 100% paid medical premiums and generous PTO. Located in Plano, the company fosters a collaborative environment where team members can thrive through continuous learning and development opportunities, making it an ideal place for those seeking meaningful and rewarding careers in compliance and investment management.
StudySmarter Expert Advice🤫
We think this is how you could land Portfolio Management Compliance Associate (PLANO)
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
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Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Fisher Investments. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace Portfolio Management Compliance Associate (PLANO)
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Fisher Investments.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Fisher Investments's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Fisher Investments
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Fisher Investments.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Fisher Investments will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Fisher Investments employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
