Senior Manager- Investment Compliance Monitoring

Job Description

Title:                            Senior Manager - Compliance Monitoring & Surveillance

Department:                General Counsel Shared Services

Location:                     Gurgaon, India

Reports To:                 Head of GC Shared services

Compensation:            Grade 6

We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel (“GC”) Shared Services team and feel like you are part of something bigger.

About your team:

General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (“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. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function.

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.

About your role:

Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. As such, Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring & Surveillance program. You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation, in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelity’s investment management activities. Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme.

Key Responsibilities:

• Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams.
• Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation.
• Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations.
• Lead the development of dashboards, management reports, and papers for governance committees.
• Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls.
• Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact.
• Ensure market abuse and communications monitoring tools are appropriately calibrated.
• Maintain day-to-day relationships with vendors of compliance monitoring tools.
• Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting.
• Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning.

About you:

The ideal candidate will have:

• Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry.
• Firm understanding of concepts and practices relating to monitoring and surveillance.
• Strong analytical skills and experience performing thematic reviews or audits would be beneficial.
• Excellent written and verbal communication skills.
• Proven ability to coordinate and work with teammates and stakeholders across multiple locations.
• Strong organizational skills, capacity to work under pressure & remain motivated while completing routine tasks.

Feel rewarded

For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.