Senior Associate - Investment Compliance Advisory

Title Senior Associate - Investment Compliance Advisory

Department General Counsel Shared Services

Location Gurgaon, India

Reports To Manager - Portfolio Control & Monitoring

Level Permanent

We're 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 team and feel like you're part of something bigger.

About your team

The Investment Compliance Advisory team is responsible for providing compliance advice and support to the investment teams, including fund managers, research analysts, trading desks, corporate finance and their respective support groups. The department primarily takes responsibility for regulatory advice of all asset classes ( Equity, Fixed Income, Multi - Asset and Real Estate), as well as associated derivative activities. In addition, the team provides regulatory advice to both the Portfolio Compliance monitoring team in HK and the London based compliance monitoring team.

GC 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 Portfolio Control & Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring.

About your role

• Maintenance of the Fidelity Restricted List (daily addition and deletions);
• Review of new and existing Indices in line with ESMA Index eligibility guidelines;
• Responding to adhoc client restricted list updates and implemented these in Charles River upon request from the Portfolio Services Group (PSG);
• New derivative approvals for funds
• Prepare training materials for various regulatory topics in collaboration with the Compliance advisory team;
• Perform unlisted security reviews for UCITS funds managed at Fidelity;
• Periodic review of expert network providers;
• Preparing compliance reports, certifications and responding to compliance questionnaires;
• Annual certification of Fidelity equity funds in accordance with SEC FINRA 5130;
• Globally, establish and maintain relationships with senior management and staff in compliance and other areas, such as legal, audit and risk;
• Take on any other ad hoc operational compliance advisory tasks or functions needed to support the business as it grows and evolves;
• Provide a high quality timely service to customers;
• Assist in a range of FIL-wide projects or tasks.
• Support the Global Investment Compliance Team by reviewing, analysing, and advising on investment guidelines for FIL's institutional and retail products.
• Investigate and resolve post-trade violations, including root-cause analysis of daily compliance alerts and warnings.

About you

Experience and Qualifications Required

• University Degree preferable in Finance, Economics, Accounting or similar disciplines;
• 3+ years of experience in relevant experience working in an investment firm;
• Possess a good working knowledge of asset management processes, instruments, products;
• Good attention to detail;
• Previous use of a compliance order management system preferable (e.g. Charles River);
• Apply analytical thinking to problem solving and communicate effectively;
• Able to adapt quickly to various systems/applications uses;
• Organised and possess time management skills while working in a fast pace environment;
• Excellent communication skills both written and oral and ability to communicate with senior management in a confident and professional manner;
• Strong knowledge of Microsoft Office products with experience in Excel, Word and PowerPoint;