Client Guidelines and Assurance Specialist

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

Job Description:

Whether you have majored in finance, or not, you will have an opportunity to succeed as a Specialist on the Client Guidelines and Assurance team and help our institutional business grow globally! Through our unique training and mentorship program, you will learn the fundamentals and be given the tools you need to launch the beginning of a long and successful career.

The Opportunity:

As a Client Guidelines and Assurance Specialist, you will play a crucial role in protecting the firm, Fisher Investments' Institutional Group and our clients by monitoring and mitigating risk associated with contractual obligations, regulatory obligations and internal policies and procedures. Reporting to the Client Guidelines and Assurance Manager you will be a part of new initiatives such as expanding our ESG portfolio capabilities, aiding in the firm's defensive planning and the Portfolio Management Group modernization efforts.

The Day-to-Day:
Interpret investment management agreements and client guidelines
Review pre-trade and post-trade compliance alerts and violations
Identify and propose effective processes for incorporating new monitoring procedures as we look to expand our ever-growing capabilities
Conduct periodic audits to ensure departmental compliance with various regulatory and contractual obligations
Create and maintain policies and procedures for both internal and external use
Your Qualifications:
Bachelor's degree, or equivalent combination of education and experience
Commitment to maintain quality of work while sticking to a timeline
Maintain client focus and find appropriate solutions when faced with ambiguity
Advanced level of organizational skills and ability to restructure based on priority
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, Carrollton , Client Guidelines and Assurance Specialist, Other , Carrollton, Texas