About your team
The role supports the Group Conduct Intelligence and Operations team in India and Dalian reports into the Intelligence and Operations Senior Manager in India. The Group Conduct Intelligence and Operations team is a part of Group Code of Conduct and Ethics and is currently responsible for monitoring employee compliance with Fidelitys Group Personal Conflicts and Trading Policy (the Policies). It is also responsible for reporting breaches of these Policy as well as breaches of the Groups Code of Conduct to senior management and Fidelitys Boards. The team is expanding, and its remit continues to develop.
GC Shared Services:
The General Counsel Shared Services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and servicexs to the General Counsel function.
The Group Conduct - Intelligence Operations Assistant Manager will work closely with the India, Dalian and Bermuda Group Code of Conduct and Ethics teams to ensure all operational activities are carried out effectively.
About your role
- Demonstrates comprehensive knowledge of Compliance - Personal conflict and trading policies.
- Subject matter expertise on compliance policies and underlying regulatory requirements, including maintaining an up-to-date knowledge of changes in key regulatory requirements, regulatory focus and risk themes impacting the process. This also includes identification and analysis of key regulatory risks identified as part of the BAU processes.
- Supporting the business in adhering to the conduct rules as well as applicable regulatory requirements by ensuring processes and controls are reviewed in line with changes in the business, regional initiatives, regulations.
- Actively partner with the compliance team to support and/or lead (as applicable) ongoing evolution of Compliance program, including but not limited to, process and control re-underwriting, technology enhancements. This also includes supporting the evolution of the breach identification process; working in conjunction with fellow compliance colleagues supporting the identification, categorization and recording of items.
- Develop and regularly provide reports containing statistics from the personal trade monitoring system.
- Regular production of reports/ dashboards on a periodic basis with focus on quality and consistency of data
- Acquire thorough knowledge of our monitoring system and conduct routine evaluations of regulatory compliance with organizational policies to ensure optimal system performance.
- Support team members with other intelligence or operational activities carried out by the team and provide back-up coverage when needed.
- Assist with providing information to Internal Audit or Compliance Monitoring when requested.
- Develop and maintain procedures for the various activities conducted by this role.
- Monitor the teams mailbox for any correspondence related to the activities carried out by the team and respond to all relevant correspondence.
- Assist in tracking and coordination of key operational processes like RCSA and BCP.
About you
Qualifications Mandatory Experience:
- A minimum of 6 to 8 years of experience in financial services is required, including at least three years of knowledge and familiarity with personal conflicts and trading issues within asset management or banking.
- University (Bachelor) Degree in Business, Finance, or a similar discipline
- MBA or equivalent qualification
- Knowledge of the various types of publicly traded securities
- Hold any Ethics and Compliance credentials, such as CCEP, CISI, or ICA. Or commit to attaining them within 12 to 18 months of joining.
Essential Skills:
- Understanding of FCA, SEC, SFC and MIFID personal trading requirements.
- Focused on providing high level customer service
- Excellent written and verbal communication skills including superior report writing
- Analytical approach and problem-solving skills - ability to analyse data (qualitative quantitative) and generate improvement hypotheses
- High degree of proficiency in MS excel (strong knowledge of pivot tables, data sorting, filters, etc). Ability to develop macros, will be of advantage
- Good degree of proficiency in MS Power Point including ability to develop clear, concise compelling story lines for senior management
- Ability to work with stakeholders at all levels
- Able to demonstrate abilities and experience in duties and responsibilities mentioned above
- Ability to multi-task and priorities workload with a strong attention to detail.
- Excellent oral and written communication skills and the ability to work well in a team and on their own initiative.
- High degree of comfort in working with ambiguity and under pressure, with the ability to prioritise and manage multiple tasks
- Self-motivated with an eagerness to learn and a positive work ethic
- Collaborative operating style with a focus on working together with others to achieve great outcomes for the business
- Utmost level of professional conduct and ability to exercise discretion/maintain confidentiality.
- Strong self-motivation, organisation, time management and a demonstrated ability to adapting to unforeseen changes.
- Very good organisational skills - ability to multi-task and meet deadlines.
- Ability to learn quickly and make decisions that are reasonable and logical.
- Flexible and adaptable, responds rapidly to changing agendas
- Ability to use good judgement in the use of confidential information
- Clear open communication with a willingness to learn listen
