Portfolio Management Compliance Associate
Core
Supports Portfolio Management Compliance team tasks, regulatory requirements, and protocols for Fisher European Entities, acting as a liaison between the Portfolio Management Group and Legal & Compliance Department.
Role type
Associate, Portfolio Management Compliance
Builds
Regulatory reporting, trade exception reports, and Trading Practices Committees documentation for Fisher European Entities.
Domain
Financial Services / Investment Management Compliance
Deliverable
client delivery
Required skills
Regulatory compliance, trade reporting, process improvement, documentation management, risk monitoring
Preferred skills
Investment management regulatory compliance, European regulatory framework (EMIR, MiFID II), MS Office, Salesforce
Technologies
Salesforce, MS Office
Responsibilities
Oversee assigned operational tasks to completion, identify and create documentation for the group, monitor established controls to ensure trade reporting obligations are met, execute internal trade process adherence reporting, handle sensitive and confidential documents, document Trading Practices Committees meetings.
Seniority
Associate, entry-level IC
