Posted 3 days ago
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**Compliance Advisor** ensures investment portfolio compliance by monitoring equity, fixed income, and alternative funds, educating investment professionals on guidelines, and collaborating with regulators. Key responsibilities include daily trade monitoring, policy education, and information barrier management. Requires a business-related degree, 1-4 years' asset management or relevant financial services experience. Offers excellent communication, analytical, problem-solving, and collaboration skills. Join Fidelity's Asset Management Compliance team, committed to driving financial expertise and customer trust.
- Compensation
- Not specified
- City
- Not specified
- Country
- United Kingdom
Currency: Not specified
Full Job Description
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 Fidelitys 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.
Certifications:
Category:
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Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
Company overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experience.
Reasonable accommodations
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation contact the HR Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop, and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Applicant screening
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
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