Portfolio Compliance Monitoring Senior Analyst

About your team

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 function is a global centre of expertise currently being built out in Dalian and India. It provides operational support and services to the General Counsel function.

The Investment Compliance Advisory team is responsible for providing compliance advice and support to the investment teams, including fund managers, research analysts, trading desks, corporate finance and their respective support groups. The department primarily takes responsibility for regulatory advice of all asset classes ( Equity, Fixed Income, Multi - Asset and Real Estate, as well as associated derivative activities. In addition, the team provides regulatory advice to both the Portfolio Compliance monitoring team in HK and the London based compliance monitoring team.

About your role

This role is supporting FILs Portfolio Compliance Monitoring team globally. You will be responsible for supporting the day to day portfolio compliance monitoring of various retail funds and segregated mandates managed by FIL globally, and liaising with Portfolio Managers and other relevant teams and internal/external stakeholders on any identified breaches.

You will be playing a key role and be responsible for streamlining and building efficiency in the alert monitoring process, manual task and certifications.

Key Responsibilities-

• To support the Global Investment Compliance colleagues in review and evaluation of Investment Restrictions and recommend and implement such investment restrictions for compliance testing.
• 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.
• Identify, track, resolve and report compliance breaches in-line with internal policy and regulatory requirements.
• To assist with ongoing review of relevant processes and procedures to ensure best practice by bringing efficiency and streamling manual controls.
• Preparing compliance reports, certifications and responding to compliance questionnaires.
• Ensuring detail documentation of end to end procedures, maintenance of procedures repository including change notification in various systems.
• Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks
• Provide a high quality timely service to customers
• Assist in a range of FIL-wide projects or tasks

About you

The ideal candidate will:

• Criticalthinking, analytical skills, and sound judgement are required given the responsibilities for problem solving in operational and project work
• Experience in compliance, trade/portfolio compliance monitoring (preferred) and/or operations functions, ideally within asset management industry
• 3-5 years experience in working in the investment management industry (preferably buy side) and of investment products
• Good understanding of portfolio monitoring processes (preferred), including the interpretation of client investment management agreements
• Good IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg, basic Macro and knowledge of Charles River systems (or similar compliance monitoring tools) would be an advantage.
• Good instrument knowledge of equities, fixed income and derivatives
• Business-level verbal and written English communication / presentation skills
• Positive team player as well as the ability to work on their own initiative
• Investigative and questioning nature
• Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
• Excellent inter-personal skills
• Ability to learn quickly and make decisions that are reasonable and logical