Compliance Advisor, Trade Monitoring

The Role

• Conduct daily trade monitoring for specific equity, fixed income, and alternative funds to ensure investment policy limitations are followed.
• Educate portfolio managers and traders on applicable fund/account guidelines and trading policies, and implement mechanisms to provide timely reporting.
• Provide the Asset Management Compliance leadership team with insights into current trends and issues identified during assignments, and recommend and implement improvement strategies.
• Communicate client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders.
• Support the Asset Management Information Barrier programme, including assessing inadvertent receipt of non-public information and establishing and removing information barriers.
• Work with the team to ensure ongoing collaboration with local and global regulators and support regulatory change projects.

The Expertise and Skills You Bring

• Strong academic track record (an 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.
• A valued teammate with good interpersonal skills and the ability to collaborate across functions.
• Interest 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 focus 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 proactively reduce the risk of trade error and portfolio compliance violations through real-time and post-trade compliance monitoring against 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’ compliance status in relation to equity, fixed income, high income, and FX trading.

Category

Compliance