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[New Job Vacancy] Investment Compliance Monitoring – Assistant Manager job in Fidelity International, (Gurgaon, Haryana) – Jobs in Gurgaon, Haryana

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Job Opening details:-
Company Name :-
Fidelity International
Position Name :-
Investment Compliance Monitoring – Assistant Manager
Company Location :-
Gurgaon, Haryana
Job Category :-
Management jobs

Full Job Description :-
About the opportunity
Department Description
General Counsel:
General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management
General Counsel Shared Services:
The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are:-
Reporting and Systems – Central hub in GC for all reporting and systems related activities. Operations – This is bouquet of various service offering for GC like Traiinng Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance – Compliance team in India provides effective monitoring of FIL’s funds to ensure compliance with funds’ mandates and regulatory rules in verticals like trade monitoring, portfolio compliance, retail brokerage & communication
Global Investment Compliance:
The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity’s Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups.
Purpose of the Role
You will be responsible for performing Compliance monitoring. This will include monitoring of communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firm’s 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 firm’s policies. In addition, there will be opportunities to perform other monitoring performed by the firm’s Investment Compliance function.
Key Responsibilities
Assist with the performance of recurring exception monitoring of FIL’s trading and other investment activities.
Monitoring of communications using the firm’s communications monitoring tool. This will primarily consist of reviewing exceptions and performing further investigation where required.
Ongoing calibration and administration of the communications monitoring tool and production of management information and reports.
Responsible for performing effective investment management activities, including best execution, conduct of business, customer treatment & conflicts of interest, and market conduct.
Supporting the development and maintenance of management information reports, metrics and dashboards based on complex data sets.
Identify, track, resolve and report compliance exceptions in-line with internal policy and regulatory requirements
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
Experience and Qualifications Required
5+ years of experience in the financial services industry;
Highly motivated, able to think logically, critically & quickly;
CFA or Bachelor of Business or Commerce preferred;
Good understanding of concepts and practices relating to trading, investment management and research;
Investigative and questioning nature;
Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes;
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;
Excellent business writing skills;
Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.
About you
About Fidelity International
Fidelity International offers investment solutions and services and retirement expertise to more than 2.56 million customers globally. As a privately-held, purpose-driven company with a 50-year heritage, we think generationally and invest for the long term. Operating in more than 25 locations and with $783.6 billion in total assets, our clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.

Our Workplace & Personal Financial Health business provides individuals, advisers and employers with access to world-class investment choices, third-party solutions, administration services and pension guidance. Together with our Investment Solutions & Services business, we invest $567 billion on behalf of our clients. By combining our asset management expertise with our solutions for workplace and personal investing, we work together to build better financial futures.

Our clients come from all walks of life and so do we. We are proud of our inclusive culture and encourage applications from the widest mix of talent, whatever your age, gender, ethnicity, sexual orientation, gender identity, social background and more. We are a disability-friendly company and would welcome a conversation with you if you feel you might benefit from any reasonable adjustments to perform to the best of your ability during the recruitment process and beyond.

We are committed to being a truly flexible employer, encouraging and trusting our people to perform their role in the way that works best for them, our business, our colleagues and our clients. We offer the maximum possible flexibility over where and when you work for all, considering your role and any local regulations. We call this new approach “dynamic working”.

Find out more about what we do, our history, our new approach of “dynamic working” and how you could be a part of our future at
Applying to this Job Role: Please note you are only required to upload your CV/Resume to the application screen.

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