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Required Skills: CFA/Bachelor’s , Assistant Manager - Portfolio Compliance Monitoring
Required Exp: 3 to 5 years
Category: CFA Jobs
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
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.
Working Relationships / Contacts
Your skills and experience
Source: Fidelity International Website