Associate - Investment Compliance Monitoring

Title                             Investment Compliance Monitoring - Associate  

Department                  General Counsel Shared Services

Location                      Gurgaon, India

Reports To                   Manager - Investment Compliance Monitoring

Level                            2

We’re proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like you’re part of something bigger.

General Counsel Shared Services

General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (“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 Management. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function.

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.

Investment Compliance Monitoring:

The Investment Compliance Monitoring team forms a crucial component of Global Investment Compliance department, with teams located in Japan, Hong Kong, London, and Gurgaon. Their primary role is to facilitate the implementation and continuous execution of surveillance activities across communication, trading, and other regulatory surveillance processes. This involves examining alerts, identifying potential market abuse or misconduct, escalating issues, supporting investigations, and strengthening surveillance controls. The team works closely with global stakeholders, aids in system testing and optimisation, and plays a key role in enhancing processes and maintaining thorough documentation.

About your role
You will be responsible for performing Compliance monitoring. This will include monitoring of communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firm’s investment professionals (e.g. traders, portfolio managers, research analysts), and monitoring to detect misconduct, market abuse, or behaviour that is not in accordance with the firm’s policies. In addition, there will be opportunities to perform other monitoring performed by the firm’s Investment Compliance function.

Key Responsibilities

• Assist with the performance of periodic and recurring surveillance controls pertaining to FIL’s investment management and client brokerage activities;
• Monitoring of electronic communications and trading activities using vendor and proprietary tools. This will primarily consist of reviewing exceptions and performing further investigation where required;
• Identify, escalate, resolve, track and report compliance exceptions in-line with internal policy and regulatory requirements;
• Ongoing calibration and administration of the monitoring tools and production of management information and reports;
• Monitor post-implementation performance and flag deviations or unintended consequences;
• Act as a liaison between Compliance, Technology, and Business teams to ensure seamless adoption of changes;
• Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks;
• Perform tasks within defined SLAs and assist in other projects or tasks, as required.

Experience and Qualifications Required

• 2-4 years of relevant experience in surveillance within the financial services industry;
• Bachelor of Business or Commerce preferred;
• Highly motivated, able to think logically, critically and  quickly, with an ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks;
• Excellent communication and interpersonal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables;
• Strong understanding of regulatory frameworks (e.g., MAR, FCA, SEBI, FINRA) and market abuse typologies
• Good understanding of concepts and practices relating to trading, investment management and research;
• Working knowledge of international regulatory frameworks and strong understanding of market abuse typologies;
• Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks;

Feel rewarded

For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.