Associate - Investment Compliance Monitoring

2 months ago

Gurgaon, India Fidelity International Full time

About the Opportunity

**Job Type**: Permanent

Application Deadline: 31 July 2023

**Job Description**:
Title: Associate

Department: General Counsel Shared Services

Location: Gurgaon, India

Reports To: Manager - Investment Compliance Monitoring

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.

About your team

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 Management. General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It provides operational support and services to the General Counsel function.

About your role
- Monitoring of communications and trading patterns of investment management professionals using the firm’s monitoring tool to prevent market abuse. This will primarily consist of reviewing exceptions and performing further investigation where required for trade surveillance and communication surveillance.
- Timely reporting and escalation of suspicious trading patterns & market conduct behaviours.
- Producing Trends & thematic reviews for management information and reports.
- Surveillance over other investment management activities such as but not limited to best execution, Retail Brokerage, Restricted Review reporting, Business, and market conduct.
- Knowledge to development and maintenance of Dashboards, MIS reports, metrics etc. based on complex data sets.
- Good hold on the internal policy and regulatory requirements
- Experience to cater stakeholders at multiple regions
- Supporting the senior management on investigations.
- Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks
- Expected to handle multiple tasks & deliver the results within defined SLA
- Assist in a range of FIL-wide projects or tasks

Experience and Qualifications Required
- 2+ years of experience in the Banking, Asset Management or financial services industry;
- Bachelor of Business or Commerce preferred;
- Previous work experience of Surveillance & monitoring will be preferred;
- Able to think logically, critically & quickly.
- Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.
- Investigative, monitoring and Surveillance oriented bend of mind.
- Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes;
- Excellent Business communication Written & Verbal both along with interpersonal communication skills;
- Good understanding of concepts and practices relating to Investment Products, trading, Market abuse models and research.

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