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Compliance Advisor

Fidelity Investments
Closing date
25 May 2022

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Contract Type
Full Time
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Job Description:
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 modernization, 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 is a valuable member of the UK AMC Team, supporting the ongoing success of the Compliance Monitoring Program both locally and globally. They 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.

The Expertise and Skills You Bring
  • Bachelor's degree in a business discipline (finance, general business or economics) preferred
  • Knowledge of or experience in the financial services industry, compliance and/or operations
  • Pre-trade compliance and/or order-management technology experience a plus
  • Excellent communication skills, when needed to present on investment compliance topics and to senior investment professionals
  • Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
  • Valued teammate with good interpersonal skills and like to work collaboratively across functions
  • Able to identify key opportunities for improvements in process through technology solutions

The Value You Deliver
  • Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and alternative funds and accounts to ensure that their investment policy limitations are followed
  • Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
  • Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
  • Monitoring complex investment strategies
  • Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement
  • Implementing effective mechanisms to provide timely reporting and monitoring of complex investment strategies.
  • Supporting the Asset Management Information Barrier program, 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 support regulatory change projects.

This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working.
  • Location: London, Great Britain
  • Type: Full time
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