Overview
The Opportunity:
Quality Control and Risk Management PM plays a crucial role in protecting the firm, Fisher Investments Institutional Group (FIIG), and our clients by monitoring and mitigating risk associated with regulatory obligations, internal policies and procedures, and contractual obligations. This role is also critical to new initiatives such as expanding our ESG capabilities, ensuring systems and processes are adapted to the regulatory environment which changes quite often and our modernization efforts. You will be reporting to the Vice President of Institutional Quality Control and Risk Management.
The Day-to-Day:
- Create and maintain policies and procedures for both internal and external use
- Work with Legal and Compliance to identify regulatory changes affecting Institutional and work with FIIG management to project manage their adoption
- Conduct periodic audits to ensure departmental compliance with various regulatory and contractual obligations
- Interpret investment management agreements and client guidelines
- Review pre-trade and post-trade compliance alerts and violations
- Create, develop, document and implement workflow, systems, and process improvements in oversight/ monitoring of our European institutional business
- Oversee, plan, and execute a variety of complex and sensitive projects relating FIE's Institutional European operation. Make decisions related to such issues, identifying components that need to be escalated to VP/senior management
- Analyse data to identify trends, draw conclusions and make recommendations pertaining to our European operation; analyse problem areas/risks and make recommendations regarding solutions
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Your Qualifications:
- University degree or equivalent combination of education/experience
- At least 3 -5 years professional experience
- Familiar with securities, financial markets and institutional account types
- Outstanding analytical and organisational skills
- Excellent pro-active problem solving skills
- Responsible for building stakeholder relationships with various levels of management within the Institutional group and the Company.
- Ability to shift priorities, demands and timelines through analytical and problem-solving capabilities
Why Fisher Investments Europe:
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 we align with our clients' best interests 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 medical, dental and annual health screening plans 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 8 paid holidays
- Enhanced maternity pay package with 16 weeks' top up to full base pay for eligible employees
- $10,000 fertility, hormonal health and family-forming benefit
- A retirement pension plan, featuring a 9% company contribution of base pay with an additional company match of up to 5% of base pay on personal contributions
- Gym subsidy of up to £50 per month
- Employee Assistance Program and other emotional wellbeing services
- A collaborative working environment that practises ongoing training, educational support and employee appreciation events
Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.
FISHER INVESTMENTS EUROPE IS AN EQUAL OPPORTUNITY EMPLOYER