Compliance Associate

Company: Fisher Investments
Location: Keller
Posted on: May 9, 2022

Job Description:

Are you interested in learning more about the laws and regulations of the financial services industry? Do you find interacting, training and assisting global employees Interesting and exciting? This is your opportunity to work within a department of career-minded compliance, audit and legal professionals.

The Opportunity:

As a Compliance Associate at Fisher Investments, you will join a team of professionals while gaining exposure to many areas of the firm globally. You will develop an understanding of industry regulations that guide the development of procedures and educate Fisher employees in understanding the firm's compliance policies by participating in and conducting compliance trainings. You will help employees in the United States and Canada register as Investment Adviser Representatives while also responding to inquiries from employees at all levels of the firm covering a myriad of topics including, but not limited to, personal trading, gifts, outside business activities and general compliance questions.

The Day-to-Day:
Support the Chief Compliance Officer with ongoing procedural updates and compliance testing
Onboarding new hires
Review advertising, marketing, promotional and training materials, as well as programs to ensure regulatory compliance
Prepare and participate in the delivering of relevant compliance training
Help identify and assess the impact of new or changing regulations on FI
Work with existing employees regarding compliance issues and concerns
Your Qualifications:
Bachelor's degree or equivalent combination of education and experience
Prior securities-based compliance experience within a financial services organization preferred
Experience reviewing and implementing regulatory changes
Advanced level of organizational skills and ability to deal with changing priorities
You are engaging and can connect with a wide array of audiences by phone and email
Why Fisher Investments:

At Fisher Investments, we work for a bigger purpose: bettering the investment universe. From unmatched service to unique perspectives on investing, 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 9 paid holidays
8 weeks paid Primary Caregiver Parental Leave
Back-up Child Care Program available, offering up to 10 days annually
A cumulative learning and development framework customized for every employee
An award-winning work environment - we're Great Place to Work Certified, and Top Workplace winners from The Oregonian
We take great pride in our inclusive culture. We value the different perspectives and unique skills you bring to the team - it makes us all better. Success at Fisher Investments is motivated by results, a collaborative mindset and a commitment to accomplishing great things - so if you are ready to do that, we are ready for you! Apply today to be a part of a team environment where you make a difference in the lives of people by bettering the investment universe.

*California employees accrue up to 17 days of PTO and 3 days of sick time per year.
FISHER INVESTMENTS IS AN EQUAL OPPORTUNITY EMPLOYER

Keywords: Fisher Investments, Keller , Compliance Associate, Other , Keller, Texas