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About the Role

The Compliance Advisor will proactively reduce the risk of trade errors 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’ state of compliance in relation to Equity, Fixed Income, High Income, and FX trading.

Responsibilities

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, implementing effective mechanisms for timely reporting.
Provide Asset Management Compliance leadership with information on current trends and issues, recommending and implementing improvement strategies.
Communicate client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders.
Support the Asset Management Information Barrier program, including assessing inadvertent receipt of non-public information and establishing/removing information barriers.
Collaborate with the team to ensure ongoing engagement with local and global regulators and support regulatory change projects.

Requirements

Strong academic track record with an undergraduate degree in a business-related discipline preferred.
1-4 years of experience in asset management compliance or trade monitoring is 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 a collaborative approach across functions.
Interest in identifying key opportunities for process improvement through technology solutions.

Skills

Compliance
Trade monitoring
Communication
Analytical skills
Problem-solving
Interpersonal skills
Process improvement
Technology solutions

Location

Work Type

Full-time

Experience Level

1-4 years

Education Level

Undergraduate degree

About the Company

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 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.
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 experiences.
For information about working at Fidelity, visit FidelityCareers.com.

Equal Opportunity

Fidelity Investments is an equal opportunity employer.
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 please contact the following: For roles based in the US: Contact the HR Leave of Absence/Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 2 For roles based in Ireland: Contact AccommodationsIreland@fmr.com For roles based in Germany: Contact Accommodationsgermany@fmr.com