Portfolio Compliance Monitoring Senior Analyst

5 days ago

Gurgaon, Haryana, India Fidelity International Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Key Responsibilities-

  • To support the Global Investment Compliance colleagues in review and evaluation of Investment Restrictions and recommend and implement such investment restrictions for compliance testing.
  • 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.
  • Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements.
  • To assist with ongoing review of relevant processes and procedures to ensure best practice by bringing efficiency and streaming manual controls.
  • Preparing compliance reports, certifications and responding to compliance questionnaires.
  • Ensuring detail documentation of end to end procedures, maintenance of procedures repository including change notification in various systems.
  • Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks
  • Provide a high quality timely service to customers
  • Assist in a range of FIL-wide projects or tasks

About you

The ideal candidate will:

  • Criticalthinking, analytical skills, and sound judgement are required given the responsibilities for problem solving in operational and project work
  • Experience in compliance, trade/portfolio compliance monitoring (preferred) and/or operations functions, ideally within asset management industry
  • 3-5 years' experience in working in the investment management industry (preferably buy side) and of investment products
  • Good understanding of portfolio monitoring processes (preferred), including the interpretation of client investment management agreements
  • Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg, basic Macro and knowledge of Charles River systems (or similar compliance monitoring tools) would be an advantage.
  • Good instrument knowledge of equities, fixed income and derivatives
  • Business-level verbal and written English communication / presentation skills
  • Positive team player as well as the ability to work on their own initiative
  • Investigative and questioning nature
  • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
  • Excellent inter-personal skills
  • Ability to learn quickly and make decisions that are reasonable and logical

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