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Compliance Advisor – Manage trade monitoring, policy education, and regulatory compliance in London.
Join Fidelity’s Asset Management Compliance team to uphold investment policies and enhance client trust.
The Role
Daily trade monitoring for specific equity, fixed income and alternative funds to ensure that investment policy limitations are followed
Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
Providing the Asset Management Compliance leadership team with information on current trends and issues recognised during assignments, and recommending & implementing strategies plans for improvement
Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
Supporting the Asset Management Information Barrier programme, including assessing inadvertent receipt of non-public information, establishing, and removing information barriers.
Working with the team to ensure ongoing collaboration with local and global regulators, and to support regulatory change projects.
The Expertise and Skills You Bring
Strong academic track record (with undergraduate degree in a business-related discipline preferred)
1-4 years’ experience in asset management compliance or trade monitoring would be a strong advantage
Candidates from other core financial services functions (operations, risk, etc.) with an interest in compliance are encouraged to apply
Excellent communication skills, with confidence presenting to senior investment professionals and management
Strong analytical skills, resourcefulness, problem-solving abilities, and attention to detail
Valued teammate with good interpersonal skills and like to work collaboratively across functions
Interested in identifying key opportunities for process improvement through technology solutions
The Team
Asset Management Compliance (“AMC”) works closely with Fidelity’s investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernisation, and talent development. AMC associates are focused on delivering sound guidance and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry.
The Compliance Advisor will be responsible for proactively reducing the risk of trade error and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. As part of the AMC UK team, they will be the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance in relation to Equity, Fixed Income, High Income, and FX trading.
Category
Compliance