Senior Associate -Compliance Monitoring

Job Description

About the opportunityDepartment DescriptionGeneral Counsel:General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship ManagementGeneral Counsel Shared Services:The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are: -1. Reporting and Systems- Central hub in GC for all reporting and systems related activities.2. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops.3. Investment Compliance- Compliance team in India provides effective monitoring of FIL s funds to ensure compliance with funds mandates and regulatory rules in verticals like trade monitoring, portfolio compliance, retail brokerage & communicationsurveillance.Global Investment Compliance:The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity s Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups.Purpose of the RoleInvestment Management Compliance Monitoring team is transitioning its monitoring tool and to support this change you will play an active role in performing and supporting the Head of the Investment Management Compliance Monitoring team in the UK/EMEA to oversee and ensure completion of Compliance monitoring tasks within the Investment Management Compliance Monitoring team, in accordance with the Compliance Monitoring Plan.Specifically, you will be responsible for monitoring trading, to detect suspicious transactions that might constitute market abuse and need to be reported to the UK s Financial Conduct Authority ( FCA ).Key Responsibilities
• Perform regular and ad hoc monitoring of transactions to detect Market Abuse, under the direction of the Head of Investment Management Compliance Monitoring;
• Ongoing calibration and administration of the market abuse monitoring tests;
• Prepare and contribute to Compliance reporting and certifications on the Investment Compliance monitoring activities;
• Provide a high-quality timely service to customers;
• Assist with ad-hoc compliance monitoring tasks, as required.
Experience and Qualifications Required
• Experience in compliance, market abuse monitoring (preferred), ideally within asset management industry;
• 2 years experience in working in the investment management industry (preferably buy side) and of investment products;
• Good knowledge of equity and fixed income markets and trading environments;
• Must be computer literate with experience of Bloomberg and a trading platform;
• A genuine interest in the investment process and trading;
• Investigative and questioning nature, analytical and a self-starter;
• High attention to detail;
• Good planning, prioritisation, problem solving and organisational skills;
• Confident personality and comfortable dealing with individuals at all levels.
About you About Fidelity InternationalFidelity International offers investment solutions and services and retirement expertise to more than 2.56 million customers globally. As a privately-held, purpose-driven company with a 50-year heritage, we think generationally and invest for the long term. Operating in more than 25 locations and with $783.6 billion in total assets, our clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.Our Workplace & Personal Financial Health business provides individuals, advisers and employers with access to world-class investment choices, third-party solutions, administration services and pension guidance. Together with our Investment Solutions & Services business, we invest $567 billion on behalf of our clients. By combining our asset management expertise with our solutions for workplace and personal investing, we work together to build better financial futures.Our clients come from all walks of life and so do we. We are proud of our inclusive culture and encourage applications from the widest mix of talent, whatever your age, gender, ethnicity, sexual orientation, gender identity, social background and more. We are a disability-friendly company and would welcome a conversation with you if you feel you might benefit from any reasonable adjustments to perform to the best of your ability during the recruitment process and beyond.We are committed to being a truly flexible employer, encouraging and trusting our people to perform their role in the way that works best for them, our business, our colleagues and our clients. We offer the maximum possible flexibility over where and when you work for all, considering your role and any local regulations. We call this new approach dynamic working.Find out more about what we do, our history, our new approach of dynamic working and how you could be a part of our future at https://careers.fidelityinternational.com/about-usApplying to this Job Role: Please note you are only required to upload your CV/Resume to the application screen.,

Keyskills :
qualitysalescustomer relationsmisfixed incomeinsurance