Associate - Investment Compliance Monitoring

4 days ago

Gurgaon, Haryana, India Fidelity International Full time ₹ 12,00,000 - ₹ 24,00,000 per year

About your role

  • You will be responsible for performing Compliance monitoring
  • This will include monitoring of communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firms investment professionals (e g traders, portfolio managers, research analysts), and monitoring to detect misconduct, market abuse, or behaviour that is not in accordance with the firms policies
  • In addition, there will be opportunities to perform other monitoring performed by the firms Investment Compliance function

Key Responsibilities

  • Assist with the performance of periodic and recurring surveillance controls pertaining to FILs investment management and client brokerage activities;
  • Monitoring of electronic communications and trading activities using vendor and proprietary tools. This will primarily consist of reviewing exceptions and performing further investigation where required;
  • Identify, escalate, resolve, track and report compliance exceptions in-line with internal policy and regulatory requirements;
  • Ongoing calibration and administration of the monitoring tools and production of management information and reports;
  • Monitor post-implementation performance and flag deviations or unintended consequences;
  • Act as a liaison between Compliance, Technology, and Business teams to ensure seamless adoption of changes;
  • Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks;
  • Perform tasks within defined SLAs and assist in other projects or tasks, as required.

Experience and Qualifications Required

  • 1-3 years of relevant experience in surveillance within the financial services industry;
  • Bachelor of Business or Commerce preferred;
  • Highly motivated, able to think logically, critically and quickly, with an ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks;
  • Excellent communication and interpersonal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables;
  • Strong understanding of regulatory frameworks (e.g., MAR, FCA, SEBI, FINRA) and market abuse typologies
  • Good understanding of concepts and practices relating to trading, investment management and research;
  • Working knowledge of international regulatory frameworks and strong understanding of market abuse typologies;
  • Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks;

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