Institutional Risk Management Specialist

1 month ago

London, Greater London, United Kingdom Fisher Investments Full time

Job Summary:

The Quality Control and Risk Management Specialist plays a critical role in safeguarding Fisher Investments Institutional Group and its clients by identifying and mitigating risks associated with regulatory obligations, internal policies, and contractual agreements. This position is also responsible for driving initiatives such as expanding ESG capabilities and ensuring systems and processes adapt to the evolving regulatory environment.

Key Responsibilities:

  • Develop and maintain policies and procedures for internal and external use
  • Collaborate with Legal and Compliance to identify regulatory changes affecting Institutional and work with FIIG management to implement their adoption
  • Conduct regular audits to ensure departmental compliance with regulatory and contractual obligations
  • Interpret investment management agreements and client guidelines
  • Review pre-trade and post-trade compliance alerts and violations
  • Design and implement workflow, systems, and process improvements in oversight/monitoring of our European institutional business
  • Oversee and execute complex projects related to FIE's Institutional European operation, making decisions on issues that require escalation to VP/senior management
  • Analyse data to identify trends, draw conclusions, and make recommendations pertaining to our European operation; analyse problem areas/risks and make recommendations regarding solutions

Requirements:

  • University degree or equivalent combination of education/experience
  • At least 3-5 years professional experience
  • Familiarity with securities, financial markets, and institutional account types
  • Outstanding analytical and organisational skills
  • Excellent problem-solving skills
  • Ability to build stakeholder relationships with various levels of management within the Institutional group and the Company
  • Capacity to shift priorities, demands, and timelines through analytical and problem-solving capabilities

About Fisher Investments Europe:

Fisher Investments Europe is a global organisation that prioritises client interests, provides exceptional service, and takes a personalised approach to investing. We offer a range of benefits to support our employees' long-term goals, including:

  • 100% paid premiums for our top-tier supplemental medical, dental, and annual health screening plans for employees and their qualified dependents
  • 28 days annual leave, with the ability to purchase up to 3 additional days per year, plus up to 8 paid holidays
  • Enhanced maternity pay package with 16 weeks' top-up to full base pay for eligible employees
  • $10,000* fertility, hormonal health, and family-forming benefit
  • A retirement pension plan, featuring a 9% company contribution of base pay with an additional company match of up to 5% of base pay on personal contributions
  • Gym subsidy of up to £50 per month
  • Employee Assistance Program and other emotional wellbeing services
  • A collaborative working environment that practises ongoing training, educational support, and employee appreciation events

*Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.

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