Compliance Surveillance Specialist

4 weeks ago

Gurgaon, Haryana, India FRI FIL India Business and Research Services Private Limited Full time

About FRI FIL India Business and Research Services Private Limited

FRI FIL India Business and Research Services Private Limited is a trusted advisor to all parts of Fidelity International Limited, providing high-value independent advisory and assurance expertise through our specialist teams. Our General Counsel Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function.

About the Role

The primary function of the role is to support the business requirements for electronic communications monitoring and surveillance, including social media monitoring. You will be responsible for monitoring communications across multiple channels of the firm's professionals to detect misconduct, usage of unapproved communication platforms, or behavior to obtain reasonable assurance that the relevant internal policies and procedures and applicable laws and regulation are adhered to. In addition, there will be opportunities to perform other monitoring performed by the firm's Investment Compliance function. Working with a range of stakeholders, the candidate will be responsible for identifying and documenting review needs.

Key Responsibilities

  • Monitoring of firms professional's communications using the communications surveillance tool to detect any instances of market misconduct, usage of unapproved communication platforms or violation of internal policies/regulatory requirements.
  • Responsible for maintaining procedures related to overseeing electronic communications monitoring and enhancing oversight mechanisms.
  • Leading the ongoing expansion and calibration in related projects to support the expansion of surveillance scope to include additional communication channels and behaviors.
  • Proactively recommend opportunities to leverage technology including to drive the compliance program and enhance insight and efficiency, and work with the Compliance Team in Canada to support this.
  • Review and validate compliance of the organisation's Social Media Policy by reviewing Sales and Marketing employee LinkedIn and other social media posts and sales communications, to detect non-compliance.
  • Identify any areas on non-compliance with other programs under scope, and report accordingly to Management.
  • Support the creation or update of assigned policies and procedures and stay up to date on regulatory matters related to changes, and analyze their impact.
  • Reviewing exceptions - Identify, track, resolve and report compliance exceptions in-line with internal policy and regulatory requirements.
  • Escalating issues to business partners, including follow up communication with senior stakeholders.
  • Review of alert volume and patterns regularly to identify and minimize false positives, ensuring efficient detection of potential violations.
  • Develop and implement bespoke monitoring capabilities tailored to the evolving business needs.
  • Supporting the development and maintenance of management information reports, metrics and dashboards based on complex data sets.
  • Reviewing and drafting internal procedures, policies and guidance where required.

About You

The ideal candidate will have:

  • 8+ years of prior experience in compliance, including a surveillance role at a financial services industry or asset management firm.
  • Must have French language proficiency (reading, writing and speaking);
  • Experience of designing, testing and calibrating surveillance models and parameters.
  • The ability to work and prioritize independently coupled with the judgement to involve management with issues as needed.
  • Entrepreneurial inclination - ability to work alone and act as a business specialist.
  • Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables;
  • Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.

What We Offer

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.

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