Regulatory Compliance Manager

1 week ago


Chennai, Tamil Nadu, India Fidelity Investments Full time
Job Description

The purpose of this role is to manage the Local Regulatory Compliance function in India and provide a comprehensive overview of regulatory compliance to applicable business functions.

This position will serve as an extension to businesses aligned, providing oversight and governance support by engaging with business owners. Compliance assessment and testing will be performed on a planned basis.

Main Responsibilities:

  • Manage the roll-out of regulatory changes to applicable laws, rules, and regulations for Fidelity Investments in India.
  • Effectively manage the timely identification of regulatory change alerts.
  • Design oversight reporting for the identification of regulatory changes and tracking the compliance status.
  • Act as an escalation point for regulatory changes.
  • Partner with external consultants/internal stakeholders on regulatory changes to ensure regulatory changes are added within the system of record.
  • Drive integration with compliance teams aligned to business units.
  • Ensure adherence to compliance standards, review any material changes to the compliance requirements.
  • Support compliance reviews.
  • Implement integrated compliance risk oversight to actively discuss compliance risks and create reporting, escalation, and various governance routines.
  • Periodic aggregate reporting to various key stakeholders.
  • Support initiatives and enterprise-wide projects for the risk group, tracking of project deliverables, and tasks with a high degree of understanding of highly complex processes and systems and their interdependencies, and regulatory and internal control requirements.
  • Conduct deep dives into specific areas of focus based on risk and regulatory priorities.
  • Conduct an ongoing operational review of the risk policies and practices, including the continuous identification and implementation of process and system improvements.
  • Adept in performing legal and regulatory reviews to the laws of the country in which we do business.
  • Proficiency in reviewing and assessing process flows to detect potential risks, deficient controls, duplicated effort, extravagance, fraud, non-compliance with laws, regulations, and management policies.

Skill Requirements:

  • Strong presentation, written, and interpersonal communication skills.
  • Ability to work simultaneously on multiple tasks.
  • Team player who works constructively with others to achieve team goals.
  • Prior experience developing and implementing cross-functional programs.
  • In-depth knowledge of MS Office products and exposure to reporting and workflow tools.
  • Hands-on work style and 'can-do' attitude with a strong desire to make things happen.

Salary Information:

We offer a competitive salary range of $90,000 - $120,000 per annum, commensurate with experience, along with a comprehensive benefits package.



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