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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 monitoring against client, regulatory, and internal policy limitations. As part of the AMC UK team, they will serve as the primary contact for investment professionals seeking advice on their portfolios' compliance status concerning Equity, Fixed Income, High Income, and FX trading.

Responsibilities

Monitor daily trades for specific equity, fixed income, and alternative funds to ensure adherence to investment policy limitations.
Educate portfolio managers and traders on applicable fund/account guidelines and trading policies, implementing mechanisms for timely reporting.
Provide Asset Management Compliance leadership with insights 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

Trade monitoring
Compliance
Communication
Presentation
Analytical skills
Problem-solving
Attention to detail
Interpersonal skills
Collaboration
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, promoting customer trust and confidence.
AMC is committed to driving Fidelity forward through business partnership, stewardship, platform modernization, and talent development.
AMC associates focus 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.