Quality Control and Risk Management Analyst

At a Glance:

Statement of Interest: No 

Contact: Jeremy Ayres

Shadow: Request Here

The Opportunity:

The Quality Control and Risk Management Analyst plays a crucial role in protecting the firm, FIIG, and our clients by monitoring and mitigating risk associated with regulatory obligations, internal policies and procedures, and contractual obligations.

The Day-to-Day:

• Create and maintain policies and procedures for both internal and external use.
• 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.
• Develop, document and implement workflows, systems, and process improvements in oversight/ monitoring of our institutional business.
• Execute a variety of complex and sensitive projects relating Institutional operations, and identifying components that need to be escalated to VP/senior management.
• Analyze data to identify trends, draw conclusions and make recommendations pertaining to our operations; analyse problem areas/risks and make recommendations regarding solutions.

Your Qualifications:

• Wish to be a part of identifying and addressing risks associated with our business.
• Seek to understand the ever changing regulatory environment and want to create innovative ways of adopting those changes.
• Desire experience and exposure to FIIG clients, New Strategy Development, ESG, LCD and various teams and managers.
• Enjoy auditing to look for trends and identifying ways to improve or process to mitigate risk.
• Get excited about training and becoming a subject matter expert.

We will conduct a preliminary screen of applicants based on qualifications, performance and manager feedback. Those who meet the hiring manager’s requirements will be moved forward in the process by participating in an interview. If you’d like to know more about the role, feel free to get in touch with Jeremy Ayres.

FISHER INVESTMENTS IS AN EQUAL OPPORTUNITY EMPLOYER