The Role
- Daily trade monitoring for specific equity, fixed income and alternative funds to ensure that investment policy limitations are followed
- Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
- Providing the Asset Management Compliance leadership team with information on current trends and issues recognised during assignments, and recommending & implementing strategies plans for improvement
- Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
- Supporting the Asset Management Information Barrier programme, including assessing inadvertent receipt of non-public information, establishing, and removing information barriers.
- Working with the team to ensure ongoing collaboration with local and global regulators, and to support regulatory change projects.
The Expertise and Skills You Bring
- Strong academic track record (with undergraduate degree in a business-related discipline preferred)
- 1-4 years’ experience in asset management compliance or trade monitoring would be a strong advantage
- Candidates from other core financial services functions (operations, risk, etc.) with an interest in compliance are encouraged to apply
- Excellent communication skills, with confidence presenting to senior investment professionals and management
- Strong analytical skills, resourcefulness, problem-solving abilities, and attention to detail
- Valued teammate with good interpersonal skills and like to work collaboratively across functions
- Interested in identifying key opportunities for process improvement through technology solutions
The Team
Asset Management Compliance (“AMC”) works closely with Fidelity’s investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernisation, and talent development. AMC associates are focused on delivering sound guidance and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry.
The Compliance Advisor will be responsible for proactively reducing the risk of trade error and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. As part of the AMC UK team, they will be the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance in relation to Equity, Fixed Income, High Income, and FX trading.
Certifications:Category:ComplianceSkills Required
- Undergraduate degree in a business-related discipline (preferred)
- 1-4 years experience in asset management compliance or trade monitoring (preferred)
- Experience from core financial services functions (operations, risk) with interest in compliance (encouraged)
- Excellent communication skills, including presenting to senior investment professionals and management
- Strong analytical, problem-solving skills, and attention to detail
- Ability to work collaboratively across functions and be a valued teammate
- Interest in identifying process improvement opportunities through technology solutions
Fidelity Investments Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Fidelity Investments and has not been reviewed or approved by Fidelity Investments.
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Strong & Reliable Incentives — Bonuses, commissions, and profit-sharing are presented as generous and meaningful components of total compensation, with certain roles achieving high total earnings through multiple pay streams. Variable pay is consistently framed as a positive contributor beyond base salary.
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Retirement Support — A 401(k) match up to 7% alongside additional profit-sharing up to 10% materially enhances long-term compensation. These retirement features are highlighted as standout strengths of the overall package.
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Parental & Family Support — Generous paid parental leave (16 weeks maternity, 12 weeks parental), backup dependent care, and adoption assistance provide robust family support. Hybrid work and caregiving resources further ease family responsibilities.
Fidelity Investments Insights
What We Do
At Fidelity, our goal is to make financial expertise broadly accessible and effective in helping people live the lives they want. We do this by focusing on a diverse set of customers: - from 23 million people investing their life savings, to 20,000 businesses managing their employee benefits to 10,000 advisors needing innovative technology to invest their clients’ money. We offer investment management, retirement planning, portfolio guidance, brokerage, and many other financial products. Privately held for nearly 70 years, we’ve always believed by providing investors with access to the information and expertise, we can help them achieve better results. That’s been our approach- innovative yet personal, compassionate yet responsible, grounded by a tireless work ethic—it is the heart of the Fidelity way.
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