18 Investment Compliance Jobs

About the Opportunity Job TypeApplication 14 July 2025 Title Investment Compliance Monitoring - Senior Associate Department General Counsel Shared Services Location Gurgaon, India Reports To Manager - Investment Compliance Monitoring Level 3 Were proud to have been helping our clients build better financial futures for over 50 years. How have we achieved thisBy working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like youre part of something bigger. General Counsel Shared Services General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (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 Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. Investment Compliance Monitoring: The Investment Compliance Monitoring team forms a crucial component of Global Investment Compliance department, with teams located in Japan, Hong Kong, London, and Gurgaon. Their primary role is to facilitate the implementation and continuous execution of surveillance activities across communication, trading, and other regulatory surveillance processes. This involves examining alerts, identifying potential market abuse or misconduct, escalating issues, supporting investigations, and strengthening surveillance controls. The team works closely with global stakeholders, aids in system testing and optimisation, and plays a key role in enhancing processes and maintaining thorough documentation. About your role You will be responsible for performing Compliance monitoring. This will include monitoring of communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firms investment professionals (e.g. traders, portfolio managers, research analysts), and monitoring to detect misconduct, market abuse, or behaviour that is not in accordance with the firms policies. In addition, there will be opportunities to perform other monitoring performed by the firms Investment Compliance function. Key Responsibilities Assist with the performance of periodic and recurring surveillance controls pertaining to FILs investment management and client brokerage activities; Monitoring of electronic communications and trading activities using vendor and proprietary tools. This will primarily consist of reviewing exceptions and performing further investigation where required; Assist with and lead data-driven deep dives and thematic reviews with relation to best execution, conduct of business, customer treatment & conflicts of interest, and market conduct; Identify, escalate, resolve, track and report compliance exceptions in-line with internal policy and regulatory requirements; Ongoing calibration and administration of the monitoring tools and production of management information and reports; Participate in ongoing change management initiatives by contributing to planning, testing, and implementation of systems or procedural changes; Monitor post-implementation performance and flag deviations or unintended consequences; Act as a liaison between Compliance, Technology, and Business teams to ensure seamless adoption of changes; Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks; Perform tasks within defined SLAs and assist in other projects or tasks, as required. Experience and Qualifications Required 5-7 years of relevant experience in monitoring and surveillance within the financial services industry; Bachelor of Business or Commerce preferred; Highly motivated, able to think logically, critically and quickly, with an ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks; Excellent communication and interpersonal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables; Good understanding of concepts and practices relating to trading, investment management and research; Familiarity with data visualisation tools and AI-enabled platforms would be an advantage; Working knowledge of international regulatory frameworks and strong understanding of market abuse typologies; Familiarity with designing systems testing plans and test cases, with a keen interest in emerging technologies.

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance - assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting - provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required Ensure proper and complete recording of breaches in the breach register Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system s record and response to their inquiries Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions Coordinate and work with the Head Office team in terms of alignment and improvements in processes Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin Rolling out FM attestation of rules coded for their funds. Conduct rule coding accuracy analysis Delegation Oversight Review the regular attestation received from delegates and escalate any guideline compliance issues to management Participate in on-going due diligence on delegations related matters Coding & Innovation Regulations and Guideline interpretation, translation, testing and sign-off Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client s lists to ensure completeness Pre & Post trade monitoring process & policy documentation General Assignments Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance – assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting – provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance •Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. •Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required •Ensure proper and complete recording of breaches in the breach register •Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file •Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders •Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system’s record and response to their inquiries •Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction •Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation •Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule •Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers •Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required •Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report •Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund’s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions •Coordinate and work with the Head Office team in terms of alignment and improvements in processes •Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin •Rolling out FM attestation of rules coded for their funds. •Conduct rule coding accuracy analysis Delegation Oversight •Review the regular attestation received from delegates and escalate any guideline compliance issues to management •Participate in on-going due diligence on delegations related matters Coding & Innovation •Regulations and Guideline interpretation, translation, testing and sign-off •Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client’s lists to ensure completeness •Pre & Post trade monitoring process & policy documentation General Assignments •Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team’s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management •Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance – assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting – provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance •Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. •Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required •Ensure proper and complete recording of breaches in the breach register •Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file •Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders •Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system’s record and response to their inquiries •Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction •Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation •Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule •Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers •Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required •Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report •Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund’s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions •Coordinate and work with the Head Office team in terms of alignment and improvements in processes •Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin •Rolling out FM attestation of rules coded for their funds. •Conduct rule coding accuracy analysis Delegation Oversight •Review the regular attestation received from delegates and escalate any guideline compliance issues to management •Participate in on-going due diligence on delegations related matters Coding & Innovation •Regulations and Guideline interpretation, translation, testing and sign-off •Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client’s lists to ensure completeness •Pre & Post trade monitoring process & policy documentation General Assignments •Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team’s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management •Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

Our investment professionals are responsible for delivering investment outcomes to our clients. They are enabled by many teams including Investment Monitoring, which is responsible for investment compliance oversight & support functions. KEY ACCOUNTABILITIES Investment Compliance – assist business owners to pre-empt, advise, identify, and monitor investment Compliance limits and restrictions (imposed by regulations and/or clients) Reporting – provide timely analysis, reports/reporting and escalation of exceptions on investment limits and restrictions and deal with audit/quality assurance/inspection queries/issues relating to Investment Compliance function and regulatory compliance matters. On-going monitoring and review of both new and changes to regulations / client mandates relating to investment compliance for Singapore, Malaysia, Indonesia, Thailand, Taiwan, Hong Kong, China, Korea and Japan. Duties and Responsibilities: Investment Guidelines Compliance •Conduct daily pre-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered during order creation and order execution within a turnaround time of 5-15 minutes maximum. •Conduct daily post-trade Investment Compliance monitoring through independent investigations, analysis and resolve compliance violations triggered at post-trade. Where compliance violations are deemed as breach of investment guidelines, to ensure proper notification and follow up till rectification to portfolio manager, including to the client where required •Ensure proper and complete recording of breaches in the breach register •Perform daily review of pre-trade audit file by generating the pre-trade violations records from system, review pre-trade violation comments from the output file •Pre-emptive compliance via providing investment compliance related advices to portfolio managers even before they place orders •Collaboration with Trustees and Custodians to ensure fund compliance by reviewing the breaches reported by them and reconciling against system’s record and response to their inquiries •Advise fund managers and internal customers on the interpretation of the relevant investment guidelines and restriction •Improve and enhance the effectiveness and efficiency of investment guidelines monitoring processes through process optimisation, technology, and automation •Perform reviews of manual control rule monitoring of off-system checks for those task/guidelines that cannot be tracked accurately in system via coded rule •Derivatives exposure calculation by performing additional manual netting and offsets against underlying assets according to the regulatory requirements; and reporting the figures to the portfolio managers •Ensure that any investment breach (both passive and active) is properly followed up and reported on including to the client, where required •Provide timely compliance reports and certification to clients and internal stakeholders on monthly, quarterly and/or annual basis by preparing the list of breaches detected during the period, generating compliance reports from system, review and remove rules not related to fund guidelines or regulatory guidelines from the report •Perform daily and monthly manual tasks on Securities Lending Program on SICAVs using securities lending data from lending agent and checking for adherence to various parameters such as lending limits against SICAV fund’s NAV, issuer exposure on collaterals received, aggregate counterparty exposure on collaterals from securities lending and portfolio positions from system, approved borrowers check and aggregate ownership limits from collaterals and portfolio positions •Coordinate and work with the Head Office team in terms of alignment and improvements in processes •Completeness review of rules coded in Aladdin by matching the coded rules against the fund and or regulatory guidelines to ensure all guidelines are properly coded and documented in Aladdin •Rolling out FM attestation of rules coded for their funds. •Conduct rule coding accuracy analysis Delegation Oversight •Review the regular attestation received from delegates and escalate any guideline compliance issues to management •Participate in on-going due diligence on delegations related matters Coding & Innovation •Regulations and Guideline interpretation, translation, testing and sign-off •Lists maintenances by reviewing and updating of various lists in the system on daily and ad-hoc basis, reconciling records against client’s lists to ensure completeness •Pre & Post trade monitoring process & policy documentation General Assignments •Perform other guideline compliance tasks which may be assigned from time-to-time by supervisors to discharge the team’s Investment Compliance functions, such as -assist in new instrument approval process -regulatory inspection / queries management •Singapore Public Holiday coverage may be required EXPERIENCE / QUALIFICATIONS - Graduate or post-graduate degree in Business/Accountancy/Finance - Minimum 5 years working experience in investment compliance related functions - Proficient in BlackRock Aladdin full suites of Compliance modules, workbench and violations dashboard - Ability to independently interpret regulations/client mandates accurately - Strong knowledge on Aladdin BQL and Investment Compliance logics - Expertise and deep knowledge in MAS CCIS, CPFIG, UCITS and/or the respective local regulations of Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan. - Strong understanding of Investment management workflows and processes PERSONAL ATTRIBUTES - Highly diligent, resourceful and curious - Excellent English communication skills, written and verbal. Candidates with local language expertise in any of the countries stated here will be preferred. (Malaysia, Thailand, Taiwan, Vietnam, Indonesia, Hong Kong, China, Korea and Japan.) - Strong oversight monitoring and problem-solving skills - Attention to detail with a passion for quality - Effective inter-personal skills and ability to work with different stakeholders - Maturity, commitment, and drive - Resilient in dealing with multiple initiatives and challenges - Interest in innovation and technology to standardize and optimize operations - Forward looking mindset, independent judgment and robust analytical skill - Ability to handle extreme stress and work under extremely tight time pressure while still having clarity of thought as any wrong judgement/analysis will result in active regulatory / client mandate breaches and substantial financial / reputational losses - Ability to work independently with minimum supervision

About The Role : Job Title:Sr. Analyst Location:Gurgaon, India About The Role :: Candidates will gain exposure to a wide range of industries and investment structures. As a result of the breadth of the experience, candidates will develop a unique understanding of companies, capital structures, and credit markets. Responsibilities: Analyzing investment guidelines and interpret them to build logic-based rules to implement into automated investment compliance system for monitoring. Deliver daily/monthly/quarterly compliance reports to PM team for the new violations across all investment policies. Support onshore team by assisting them in post trade compliance monitoring activities across all the investment strategies. Assist in identifying the data governance and data reconciliation issues. Must be good with people management skills, must have on papers experience Qualifications: Bachelors degree with a preference to advanced degree or progression towards CFA/FRM/CAIA 4-6 years of relevant experience in investment compliance monitoring with an exposure towards rule coding. Knowledge of guideline monitoring or coding in compliance systems e.g., Charles River, Bloomberg, LZ Sentinel, Aladdin or Clearwater Analytics would be an added advantage. Good to have experience in querying database and analyzing large data sets Deliver NoPerformance ParameterMeasure1ProcessNo. of cases resolved per day, compliance to process and quality standards, meeting process level SLAs, Pulse score, Customer feedback2Self- ManagementProductivity, efficiency, absenteeism, Training Hours, No of technical training completed

Department General Counsel Shared Services Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 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 General Counsel 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 services to the General Counsel function. Three key verticals of GC shared services are:- Reporting and Systems - Central hub in GC for all reporting and systems related activities. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance - Compliance team in India provides effective monitoring of FILs funds to ensure compliance with funds mandates and regulatory rules in verticals like Portfolio compliance Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FILs Global Investment Compliance and Monitoring department, with teams present in Hong Kong, London and Gurgaon. 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 FILs 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 FILs institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; Regular Rule maintenance on compliance system i.e. CRD; Conduct Account Mapping Review viz a viz applicable rule; Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; 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; Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; Assist in resolving queries with regional compliance teams; Assist with ongoing review of relevant processes and procedures to ensure best practice; Assist in a range of FIL-wide projects or tasks; Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Good understanding of Charles River system workflows and parameters; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; 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; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Prudential s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed. PHI -Manager - Risk Prudential (UK) in partnership with the HCL group plans to set-up a standalone Indian health insurance company to address the growing healthcare needs of the Indian consumer. This joint venture will combine Prudentials global expertise in insurance and financial services with HCL Group s experience in technology and healthcare solutions. Prudential, with its longstanding presence in India, already operates two leading businesses in life insurance and asset management with the ICICI Group. Prudential was also the proud sponsor of the 1983 Cricket World Cup, India s first World Cup Victory! Prudential Health India is a Zero to One team undertaking a no-legacy, greenfield health insurance deployment in India, building journeys that truly empathize with the customer and offer a differentiated experience. To partner with us in this mission, we are looking for a dynamic and Risk Manager to ensure the efficient and seamless operation of the Risk Department and plays a crucial role in identifying, assessing and mitigating risks in the organization. Reporting to Head of Risk/Chief Risk Officer Location: Mumbai The Manager of Risk and Investment Compliance is responsible for ensuring that the organization adheres to all regulatory requirements and internal policies related to risk and compliance, with a specific focus on compliance with IRDAI regulations. This role requires a deep understanding of financial markets particularly Insurance, Cyber Security, and also involves monitoring compliance, and conducting audits. Key Responsibilities Identify potential risks that could impact the organization s operations and financial performance. Conduct comprehensive risk assessments to evaluate the likelihood and impact of identified risks. Develop risk profiles and maintain a risk register. Develop and implement risk management policies and procedures. Monitor the effectiveness of risk mitigation measures and adjust as necessary. Collaborate with various departments to ensure risk management practices are integrated into daily practices. Maintain records of risk assessments, mitigation plans, and compliance activities. Develop and implement standard operating procedures for Risk Management, including its regular review and updating as per current regulations and best practices. Support Chief Risk Officer in strategic risk management matters. Qualification Experience Master s degree in finance, Law, Economics, or a related field; advanced degree preferred. Relevant certifications such as CFA, CAMS, or similar are a plus Minimum 10 years of experience in insurance domain In depth knowledge of insurance sector Strong leadership and organization skills Excellent communication and interpersonal abilities Skills Analytical skills Problem solving skills Data handling expertise Familiarity with risk assessment tools IRDAI Regulatory Knowledge What we offer Competitive salary Career development opportunities for professional growth and development including training and mentorship programs Recognition as a key member of our leadership team Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors

Job Title: Process Improvement Analyst - Investment Compliance Key Responsibilities Study and Improve Processes Understand how things are currently done, identify problems or slow steps, and design better ways to do the work. Use Technology for Better Results Recommend tools (like automation or software) to make tasks faster and easier. Work with Others to Plan Improvements Talk with managers and teams to understand their goals, share ideas, and help shape future plans. Lead Projects Take the lead on improvement projects involving different departments and IT. Support Learning and Change Share good ideas and teach others. Help people adjust to new ways of working. Other Duties Help with other tasks and special projects as needed. What Were Looking For Education: Bachelors degree or similar experience in business, technology, law, or a related area. Experience: - 68 years working in process improvement or tech-related roles. - Knowledge of business processes and improvement methods like Lean, Six Sigma, or BPM. - Experience in consulting, data analysis, or project management is helpful.

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors

About the job Key Responsibilities: Prepare and deliver regular compliance reports to clients, highlighting any issues and the actions taken to address them. Develop and maintain reporting templates that meet client specifications and regulatory standards. Ensure reports are accurate, comprehensive, and delivered within agreed-upon timelines. Serve as a point of contact for clients regarding compliance-related inquiries and reporting. Communicate effectively with clients to understand their needs and to explain complex compliance issues in an understandable manner. Work closely with portfolio managers, traders, and other internal teams to ensure a cohesive approach to compliance. Provide support during client onboarding by setting up compliance rules and reporting frameworks. Assist in the development and implementation of compliance policies and procedures Qualifications: MBA - Finance / CFA, Law, or Compliance-related qualification. Capital Markets knowledge/NCFM certifications are preferred. Experience: 4-9 years of experience in BFSI At least 2+ years of experience in investment compliance. Prior experience in the capital market and financial market along with CRD tools will be an added advantage.

Department: General Counsel Shared Services Location: Gurgaon, India Reports To: Head of GC Shared services Compensation : Grade 6 We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel (GC) Shared Services team and feel like you are part of something bigger. About your team: General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (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 Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role: Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. As such, Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring & Surveillance program. You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation, in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelitys investment management activities. Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme. Key Responsibilities: Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams. Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation. Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations. Lead the development of dashboards, management reports, and papers for governance committees. Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls. Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact. Ensure market abuse and communications monitoring tools are appropriately calibrated. Maintain day-to-day relationships with vendors of compliance monitoring tools. Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting. Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning. About you: The ideal candidate will have: Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry. Firm understanding of concepts and practices relating to monitoring and surveillance. Strong analytical skills and experience performing thematic reviews or audits would be beneficial. Excellent written and verbal communication skills. Proven ability to coordinate and work with teammates and stakeholders across multiple locations. Strong organizational skills, capacity to work under pressure & remain motivated while completing routine tasks.

Application Deadline: 18 April 2025 Job Description Title: Senior Manager - Compliance Monitoring Surveillance Department: General Counsel Shared Services Location: Gurgaon, India Reports To: Head of GC Shared services Compensation : Grade 6 We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved thisBy working together - and supporting each other - all over the world. So, join our General Counsel ( GC ) Shared Services team and feel like you are part of something bigger. About your team: General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited ( 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 Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity s Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role: Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. As such, Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring Surveillance program. You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation, in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelity s investment management activities. Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme. Key Responsibilities: Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams. Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation. Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations. Lead the development of dashboards, management reports, and papers for governance committees. Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls. Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies procedures, keeping abreast of regulatory changes and their impact. Ensure market abuse and communications monitoring tools are appropriately calibrated. Maintain day-to-day relationships with vendors of compliance monitoring tools. Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting. Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning. About you: The ideal candidate will have: Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry. Firm understanding of concepts and practices relating to monitoring and surveillance. Strong analytical skills and experience performing thematic reviews or audits would be beneficial. Excellent written and verbal communication skills. Proven ability to coordinate and work with teammates and stakeholders across multiple locations. Strong organizational skills, capacity to work under pressure remain motivated while completing routine tasks. Feel rewarded

Job Description Title: Senior Manager - Investment Compliance Monitoring Department: General Counsel Shared Services Location: Gurgaon, India Reports To: Head of GC Shared services Compensation: Grade 6 We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel (GC) Shared Services team and feel like you are part of something bigger. About your team: General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (“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 Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity’s Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role: Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. As such, Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring & Surveillance program. You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation, in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelity’s investment management activities. Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme. Key Responsibilities: Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams. Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation. Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations. Lead the development of dashboards, management reports, and papers for governance committees. Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls. Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact. Ensure market abuse and communications monitoring tools are appropriately calibrated. Maintain day-to-day relationships with vendors of compliance monitoring tools. Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting. Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning. About you: The ideal candidate will have: Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry. Firm understanding of concepts and practices relating to monitoring and surveillance. Strong analytical skills and experience performing thematic reviews or audits would be beneficial. Excellent written and verbal communication skills. Proven ability to coordinate and work with teammates and stakeholders across multiple locations. Strong organizational skills, capacity to work under pressure & remain motivated while completing routine tasks. Feel rewarded For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

Job Description Title FTC Analyst- Group Conduct - Intelligence and Operations Department General Counsel Location India Reports To Manager Level Grade 2 Contract duration 7 months We're proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel Shared services team and feel like youre part of something bigger. 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 About your team The role supports the Group Conduct Intelligence and Operations team in India and Dalian reports into the Manager in India. The Group Conduct Intelligence and Operations team is a part of General counsel shared services and is currently responsible for monitoring employee compliance with Fidelitys Group Personal Conflicts, Trading and Price Sensitive Information Policies (the Policies”). It is also responsible for reporting breaches of these Policies as well as breaches of the Group’s Code of Conduct to senior management and Fidelity’s Boards. About your role The Group Conduct - Intelligence & Operations Analyst will work closely with the Global Group Code of Conduct and Ethics teams to ensure all monitoring and reporting activities are carried out effectively. Prepare various reporting for Intelligence and Operations team like board report, senior management reporting 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 Regularly conduct monitoring of employee classification to ensure employees are classified according to the guidance issued. Where misclassification identified, liaise with HR and other relevant persons. Answer questions related to classification changes Work with the different teams to streamline/ continuously improve existing process Support the Intelligence and Operations team in India and Dalian with reviewing and addressing employee violations of the Personal Conflicts, Trading and Price Sensitive Information Policy. This entails seeking employee explanations for breaches identified, assisting with performing manual testing, Support Intelligence & Operations team members with reaching out to employees in situations where duplicate reporting does not appear to be set up by employees. Perform review the personal account dealing violation letters as per the code enforcement guidelines. Provide information for DDQ (due diligence questioners) to regional compliance offices. Support team members with other intelligence or monitoring 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 team’s 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 About you Experience, Qualifications and Skills Required Qualifications & Experience At least 3-5 years overall experience preferably in Financial Service. Exposure to compliance and risk management is preferable University (Bachelor) Degree preferably in Business, Finance, or a similar discipline MBA or equivalent qualification (preferred, but not mandatory) Knowledge of compliance tools (Preferable - Star Compliance, Actimize, My compliance office) Knowledge of the various types of publicly traded securities would be an advantage Experience based domain knowledge of General Counsel functions (Risk/ Compliance) would be an advantage Essential Skills Excellent understanding of financial instruments. Proven experience in timely and accurate delivery of senior management reports Excellent written and verbal communication skills including superior report writing 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 Analytical approach and problem-solving skills - ability to analyse data (qualitative & quantitative) and generate improvement hypotheses Ability to work with stakeholders at all levels Ability to multi-task and priorities workload with a strong attention to detail. 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. Experience of the asset management industry would be an advantage 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 Feel rewarded For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

Job Purpose "This position is open with Bajaj Finance ltd." Duties and Responsibilities 1.Ensure full compliance to the set process for the assessment and capture of all required data for the preparation of credit monitoring dashboards. 2.Ensure adherence to the set timelines for delivery of the credit monitoring dashboards and related projects. 3.Monitor the alerts generated by the dashboards, communication of the same to respective stakeholders and maintain a tracker to monitor action taken. 4.On a regular basis, participate in the development related activities to enhance the scope and effectiveness of the credit monitoring dashboards. Required Qualifications and Experience CA/MBA with 1-2 years of relevant experience in credit monitoring or portfolio monitoring.

About The Role : Job Title:Sr. Analyst Location:Gurgaon, India About The Role :: Candidates will gain exposure to a wide range of industries and investment structures. As a result of the breadth of the experience, candidates will develop a unique understanding of companies, capital structures, and credit markets. Responsibilities: Analyzing investment guidelines and interpret them to build logic-based rules to implement into automated investment compliance system for monitoring. Deliver daily/monthly/quarterly compliance reports to PM team for the new violations across all investment policies. Support onshore team by assisting them in post trade compliance monitoring activities across all the investment strategies. Assist in identifying the data governance and data reconciliation issues. Must be good with people management skills, must have on papers experience Qualifications: Bachelors degree with a preference to advanced degree or progression towards CFA/FRM/CAIA 4-6 years of relevant experience in investment compliance monitoring with an exposure towards rule coding. Knowledge of guideline monitoring or coding in compliance systems e.g., Charles River, Bloomberg, LZ Sentinel, Aladdin or Clearwater Analytics would be an added advantage. Good to have experience in querying database and analyzing large data sets Deliver NoPerformance ParameterMeasure1ProcessNo. of cases resolved per day, compliance to process and quality standards, meeting process level SLAs, Pulse score, Customer feedback2Self- ManagementProductivity, efficiency, absenteeism, Training Hours, No of technical training completed