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Vacancy For CFA/Bachelor’s As Assistant Manager - Portfolio Compliance Monitoring With Fidelity International At Gurgaon

Company: Fidelity International
Location: Gurgaon

Required Skills: CFA/Bachelor’s , Assistant Manager - Portfolio Compliance Monitoring
Required Exp: 3 to 5 years
Address: Gurgaon
Category: CFA Jobs



General Counsel:

General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management


GC Operations:

The General Counsel Operations 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.


Portfolio Compliance Monitoring:

The Portfolio Monitoring team is a global function, as part of FIL’s Global Investment Compliance department, with teams present in  Hong Kong, Gurgaon and Dalian. The team is primarily responsible for performing End of Day (“EOD”) portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system.   The Portfolio Monitoring team also provides compliance guidance and support to FIL’s investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FIL’s institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally.


Purpose of the Role


This role is supporting FIL’s Portfolio Compliance Monitoring team globally. You will be responsible for supporting the day to day portfolio compliance monitoring of various retail funds and segregated mandates managed by FIL globally, and liaising with Portfolio Managers and other relevant teams and internal/external stakeholders on any identified breaches. You will also be required to be closely involved in the take on process for new mandates and amendments of existing mandate restrictions by communicating with various teams on the suitability of the restrictions and setting up the investment restrictions in the compliance system.


In addition, you will also be responsible for conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other Investment Compliance related matters and queries from investment professionals.



Key Responsibilities

  • To support the Global Investment Compliance colleagues in review, analyse and comment on investment guidelines for FIL’s retail and institutional products
  • To support review and evaluation of Investment Restrictions and recommend and implement such investment restrictions for compliance testing
  • Take ownership of the account take-on process, ensuring that compliance monitoring systems are updated accurately and timely
  • Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams
  • Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements
  • Assist in other compliance related portfolio monitoring, including aggregate ownership limits
  • Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks
  • Provide a high quality timely service to customers
  • Assist in a range of FIL-wide projects or tasks



Working Relationships / Contacts

  • Investment Compliance teams  globally, including colleagues in London, Hong Kong, Japan and Dalian
  • Portfolio Managers, Portfolio Services Group
  • Relationship Directors and Client Service Managers
  • Compliance Systems Support
  • Product Development teams
  • Legal
  • Investment Administration
  • Data Management Services
  • Local Compliance Officers
  • Trading Desks


Your skills and experience


Essential skills

  • 5 - 8years experience in Investment Compliance/Portfolio Compliance monitoring, ideally using Charles River systems (or similar compliance monitoring tools)
  • Good understanding of portfolio monitoring processes, including the interpretation of client investment management agreements
  • Good instrument knowledge of equities, fixed income and derivatives
  • CFA or Bachelor of Business or Commerce preferred
  • Business-level verbal and written English communication / presentation skills
  • Positive team player as well as the ability to work on their own initiative
  • Good analytical skills, problem-solving ability and attention to detail
  • Investigative and questioning nature
  • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
  • Excellent inter-personal skills
  • Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage
  • Ability to learn quickly and make decisions that are reasonable and logical

Date Posted:01-Feb-2021
Posted By: Abhinash kumar jha
Views 285

Source: Fidelity International Website

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Vacancy For CFA/Bachelor’s As Assistant Manager - Portfolio Compliance Monitoring With Fidelity International At Gurgaon