Investment Compliance Specialist

1 week ago

Gurgaon, Haryana, India Fidelity International Full time

Job Summary

We are seeking a highly skilled Investment Compliance Specialist to join our team at Fidelity International. As an Investment Compliance Specialist, you will play a key role in ensuring the accurate and efficient coding of investment restrictions into the Charles River compliance system.

About the Role

You will be responsible for reviewing, analyzing, and advising on investment guidelines for FIL's institutional and retail products. This includes investigating the cause of daily alerts/warnings, reporting compliance breaches across various stakeholders, and identifying, reporting, and following up on resolution for compliance breaches in-line with internal policy and regulatory requirements.

Key Responsibilities

  • To support the Global Investment Compliance Team in review, analyze and advise on investment guidelines for FIL's institutional and retail products.
  • Investigate the cause of daily alerts/warnings and report compliance breaches across various stakeholders.
  • Identify, report and follow up on resolution for compliance breaches in-line with internal policy and regulatory requirements.
  • Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into CRD.
  • Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded.
  • Conduct Account Mapping / Review viz a viz applicable rule.
  • Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended.
  • Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams.
  • Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules and alert monitoring.
  • Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines.
  • Assist in resolving queries with regional compliance teams.
  • Perform manual activities which cannot be monitored into Compliance system i.e. CRD.
  • Assist with ongoing review of relevant processes and procedures to ensure best practice.
  • Assist in a range of FIL-wide projects or tasks.
  • Assist with ad-hoc compliance monitoring tasks, as required.

Experience and Qualifications Required

  • Investment compliance guideline rule coding experience is a must.
  • Technology Savvy with experience in writing high quality, readable, reusable, testable code.
  • Proficiency on MS Office application like MS Excel, MS Word and MS Access.
  • Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage.
  • Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements.
  • 7+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products.
  • Good instrument knowledge of equities, fixed income and derivatives.
  • Be a strategic thinker, possess strong facilitation and data gathering skills.
  • Effective problem solver, attention to detail and ability to work to tight deadlines under pressure.
  • CFA or Bachelor of Business or Commerce preferred.
  • Business-level verbal and written English communication / presentation skills.
  • Positive team player as well as the ability to work on their own initiative.
  • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Compensation Package

The salary for this role is estimated to be around £60,000 - £80,000 per annum, depending on experience and qualifications.

About Fidelity International

Fidelity International is a global leader in financial services, providing investment solutions and wealth management services to individuals, institutions, and governments worldwide.

How to Apply

If you are interested in this exciting opportunity, please visit our website at careers.fidelityinternational.com to learn more about our company culture and values. You can also contact us through our website to inquire about the position.

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