Description

The Opportunity:

Fisher Asset Management (FAM) are looking for an experienced Compliance professional to join the Compliance Team to assist the AMLCO in managing the Firms' AML operations for Canada Sales and Service and UK Client Services. FAM Compliance plays a critical role in enabling the firm to continue to provide the right products and services to its clients by enabling the firm to provide excellent customer outcomes whilst protecting the firm against regulatory risk.

The successful candidate will be responsible for supporting the AMLCO in providing advisory and monitoring services to the business to ensure compliance with the relevant AML regulation and regulatory guidance. They will work in support of the AMLCO to manage the design, development and ongoing monitoring of FAM's Financial Crime Risk Management and Control framework to ensure it is in alignment with the firm's risk appetite and applicable legal and regulatory requirements.

The Day-to-Day:

• Working with the AMLCO to develop and maintain the Financial Crime Business Wide Risk Assessment for Canada
• Assisting the AMLCO to develop and maintain FAM's policies, procedures and associated standards covering; Money Laundering, Counter Terrorist Financing, Sanctions and Fraud according to Canadian and UK regulations
• Carry out daily client transaction monitoring for Canadian and UK clients
• Support the AMLCO to collate AML and Fin Crime MI for reporting to the FAM Chief Compliance Officer and Senior Management
• Assisting the AMLCO with investigating Suspicious Activity/ Transaction Reports, discounting or assisting with submission of reports to law enforcement where necessary
• Assisting the AMLCO to design and implement AML training to Canadian and UK Client Services teams, conducting face-to-face sessions where required
• Providing advice and guidance to the business on client elevations, referring to the AMLCO where necessary
• Oversight of PEP / Sanction / Litigation screening, reviewing and discounting / elevating to CO/GCCO where necessary
• Review and maintain FAM's client risk assessment logic in line with quarterly legislative updates and industry guidance
• Provide ad-hoc advice and guidance on AML and Fin Crime regulatory requirements for Canada and the UK to the business, acting as a trusted point of contact
• Work collaboratively with the AMLCO to monitor, assess and report on emerging legislative and regulatory developments relating to AML and Fin Crime
• Work collaboratively with internal and third-party auditors to complete scheduled assessments of FAM's Canadian AML Program

Your Qualifications:

• At least 2 years' experience in within the finance industry, Banking or Wealth Management preferred with knowledge of, and experience with, AML client screening and ID verification systems.
• Relevant understanding of UK and Canadian legislation and regulation relating to AML, CTF and CDD
• Clear and effective communication skills in both writing and speaking, confident at communicating at an executive level
• Ability to organize and prioritise own work load
• Ability to work both independently and as part of a team
• Hard working, self-motivated, eager to learn
• Ability to meet deadlines and deal with short turnaround times
• Ability to use IT systems, good Excel knowledge is preferred
• High level of attention to detail

Why Fisher Investments:

We work for a bigger purpose: bettering the investment universe. We take great pride in our inclusive culture, our learning and development framework customized for every employee, and our Great Place to Work Certification. 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 10 paid holidays
• Family Support programs including 8 week Paid Primary Caregiver Leave, $10,000 fertility, family forming, and hormonal health assistance, and back-up child, adult, and elder care
• This is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change.

FISHER INVESTMENTS IS AN EQUAL OPPORTUNITY EMPLOYER