Compliance Associate

At a Glance:

Statement of Interest: No

Contact: Robert Hills

The Opportunity:

The Compliance Associate role will give you the opportunity to join a highly motivated and seasoned team. You will gain exposure to all areas of the firm globally and develop a strong understanding of industry regulations that help drive the development of the firm’s policies and procedures. This role will leverage your strong communication skills to educate new hires and existing employees in understanding the firm’s compliance policies. 

You will work closely with firm employees to train them on Fisher’s Code of Ethics on Personal Trading. You will become very familiar with Star Compliance (STAR) and field inbound phone and email inquiries about personal trading, gifts, outside business activities, and political contributions. You will participate in conducting compliance training in large classroom, small group, and remote settings to educate employees about Fisher’s personal trading policy. 

You will assist sales and client service employees to become registered in the United States and Canada and help them with continuing education requirements.  This will require attention to detail and an understanding of the registration process as well as state specific registration requirements. You will utilize regulator supported registration systems such as FINRA’s Financial Professional Gateway (FinPro) and Canada’s National Registration Database (NRD). Strong written and verbal communication skills are required.

Using your strong attention to detail and ability to read and analyze written customer facing material, you will review marketing and sales material to help ensure compliance with firm policies and industry regulations.  You will also assist in the compliance monitoring program.

The Day-to-Day:

• Train new and existing employees on Fisher’s compliance program and Code of Ethics
• Assist global employees with questions about personal trading and Fisher’s Code of Ethics
• Administer, monitor, and report on all aspects of employee personal trading and disclosures in STAR
• Work with employees to help transfer their personal brokerage accounts and establish electronic feeds
• Register new employees as Investment Adviser Representatives in the US or as Associate/Advising Representatives in Canada
• Review firm marketing material
• Update and maintain employee registrations and continuing education requirements
• Respond to Compliance Approval Track (CAT) and Record Center submissions
• Complete regulatory filings when requested
• Work with business units to draft and edit policies and procedures
• Assist with the compliance monitoring program

Your Qualifications:

• Would like to learn about regulations and how they apply to the firm
• Communicate effectively, both verbally and written to employees globally, including various levels of management
• Understand the difference between security types, account registrations and knowledge about account transfers
• Have a strong technical aptitude and to walk employees through completing forms online and assisting them with technical issues
• Like managing multiple priorities
• Are able to deal with complex situations and ambiguity
• Are good at adhering to tight deadlines and completing tasks on time
• Have experience working on process improvement projects
• Enjoy reading and analyzing written material

We will conduct a preliminary screen of applicants based on qualifications, performance, and manager feedback. All applicants may not receive an interview. If you’d like to know more about the role, feel free to get in touch with Robert Hills.

FISHER INVESTMENTS IS AN EQUAL OPPORTUNITY EMPLOYER