Senior Manager- Investment Compliance Monitoring

4 weeks ago


Gurgaon Haryana, India FIDELITY INTERNATIONAL Full time

About the Opportunity Job Type PermanentApplication Deadline 18 April 2025Title Senior Manager - Compliance Monitoring SurveillanceDepartment General Counsel Shared ServicesLocation Gurgaon IndiaReports To Head of GC Shared servicesCompensation Grade 6We are 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 GC Shared Services team and feel like you are part of something bigger About your team 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 Fidelitys Investment Solutions and Services ISS business Stakeholders include portfolio managers research analysts trading desks corporate finance institutional teams and their respective support groups About your role Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously and it inspires us to do the right thing As such Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring Surveillance program You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelitys investment management activities Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme Key Responsibilities Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations Lead the development of dashboards management reports and papers for governance committees Lead the implementation of the delivery roadmap for new surveillance systems and establish expand existing market abuse controls Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email Bloomberg Zoom Voice or Teams Assist in creation update of policies procedures keeping abreast of regulatory changes and their impact Ensure market abuse and communications monitoring tools are appropriately calibrated Maintain day-to-day relationships with vendors of compliance monitoring tools Ensure governance processes are implemented and followed for all supported activities including SLAs SOWs timeliness daily checklists and monthly metrics reporting Build and retain a high-performing team including acquiring the right talent providing training career development performance management and succession planning About you The ideal candidate will have Preferably 10 years of experience in a Compliance or assurance-type role within the financial services industry Firm understanding of concepts and practices relating to monitoring and surveillance Strong analytical skills and experience performing thematic reviews or audits would be beneficial Excellent written and verbal communication skills Proven ability to coordinate and work with teammates and stakeholders across multiple locations Strong organizational skills capacity to work under pressure remain motivated while completing routine tasks Feel rewardedFor starters well offer you a comprehensive benefits package Well value your wellbeing and support your development And well be as flexible as we can about where and when you work finding a balance that works for all of us Its 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



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