Monitor trades and portfolios across equity, fixed income and alternative funds to ensure compliance with client, regulatory, prospectus, Board and internal policies. Educate and advise portfolio managers and traders, support information barrier controls, assist regulatory change projects, and recommend process improvements. Provide timely reporting and risk-reduction through real-time and post-trade monitoring.
Job Description:
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.
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