Compliance Associate
Company: Fisher Investments
Location: Saint Petersburg
Posted on: May 9, 2022
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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, St. Petersburg , Compliance Associate, Other , Saint Petersburg, Florida
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