Welcome page Returning Candidate? Log back in! Senior Compliance Analyst Location US-TX-Plano Category Legal Affairs Job ID 2025-16415 Overview

The Opportunity:

 

The Senior Compliance Analyst works in the office and supports the Compliance Department to ensure compliance with applicable state and federal regulations as well as policies and procedures through advanced knowledge of the regulatory environment or auditing techniques.

The Day-to-Day:

Manages a program to ensure the elements are completely and efficiently meeting the business requirementsManages all phases of various projects from envisioning through deploymentIdentifies potential process improvements, recommends solutions, and implements solutions to improve the efficiency of the departmentCoaches, mentors, and motivates team membersWorks onsite, under direct supervision, in a team-based and open office environment

Additional responsibilities may include:

Compliance Analyst: Provides advice and guidance as the primary compliance contact for assigned business units and/or compliance functions; completes compliance audits; assists in the coordination and enforcement of compliance policies as well as the design and implementation of future compliance processes; addresses various compliance issues and determines appropriate resolutions; makes decisions regarding the compliance of the firm’s marketing material and correspondence; review and update written policies relating to firm compliance policies and procedures; responds to ad hoc compliance questions from all departments; coordinates regulatory examinations as they occur. keep current on, analyze, and understand regulatory requirements and compliance procedures.

Your Qualifications:

Bachelor’s degree or equivalent combination of education and experience required4-5 years of financial services regulatory compliance experience preferredHighly developed qualitative and/or quantitative skills requiredAbility to analyze various situations and develop creative solutionsExcellent verbal and written communication skillsHigh level of attention to detailAbility to adapt to changes in a fast paced, team environmentAbility to prioritize workload and manage time across various tasksProficient in Microsoft Office software

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 dependentsA 50% 401(k) match, up to the IRS maximum20 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 careThis 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

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