6 Market Abuse Jobs

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

We are conducting Virtual Walk-In drive on Saturday, 17th May for Trade Surveillance role. Immediate joiners to 30 days notice period candidates are preferrable. Job Location: Bangalore, Mandatory WFO Experience: 3 - 8 years of experience in Trade Surveillance role Job Purpose: Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client. The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions. Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Key Responsibilities: Functional Responsibilities: Working on daily exceptions Preparing and updating the client SOPs as and when required Identify gaps in existing process and suggest enhancements Handle queries of junior team members and help them learn the process Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Behavioral Competencies: Team working • Client Centricity • Entrepreneurial • Communication • Clarity of Thought • Self-awareness

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

Role: Trade Surveillance Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines. Obtain and upload analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis As necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigation Escalate suspicious trading activity deserving of further investigation to On shore MIS and reporting of daily activities on timely manner At least 2 years experience in banking /financial industry A good understanding of capital markets Familiar with Market Abuse types Good communication skills and eager to learn Analytical and with an investigative eye for accurate details and red-flag situations Ability to work in a team as well as independently Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment

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.