Job
Description
As a Senior Associate in Investment Compliance Monitoring at Fidelity International, you will be instrumental in overseeing surveillance activities across communication, trading, and regulatory processes. Your main role involves monitoring investment professionals' communications, detecting misconduct or market abuse, and aiding investigations while maintaining detailed documentation. Additionally, you will contribute to various monitoring activities conducted by the Investment Compliance team. **Key Responsibilities:** - Assist in conducting periodic surveillance controls related to investment management and client brokerage activities at FIL - Monitor electronic communications and trading activities using vendor and proprietary tools, investigating exceptions as needed - Lead data-driven deep dives and thematic reviews on best execution, customer treatment, market conduct, etc. - Identify, escalate, resolve, and report compliance exceptions following internal policies and regulatory requirements - Administer monitoring tools, produce management reports, and participate in change management initiatives - Act as a liaison between Compliance, Technology, and Business teams to ensure smooth adoption of changes - Build effective relationships with other functional areas for timely information exchange and task completion - Meet defined SLAs, assist in other projects as necessary **Experience and Qualifications Required:** - 5-7 years of monitoring and surveillance experience in the financial services industry - Bachelor of Business or Commerce degree preferred - Logical, critical thinker with strong organizational and communication skills - Good understanding of trading, investment management, and research practices - Familiarity with data visualization tools and AI platforms is advantageous - Knowledge of international regulatory frameworks and market abuse typologies - Experience in designing systems testing plans and test cases, with an interest in emerging technologies Joining Fidelity International offers a comprehensive benefits package and prioritizes your wellbeing and professional development. The company fosters a flexible work environment to ensure a balanced and motivating atmosphere for all employees. If you seek to be part of a supportive team dedicated to building better financial futures, Fidelity International could be the perfect fit for you. Explore more about the company's work and dynamic approach to working at careers.fidelityinternational.com. As a Senior Associate in Investment Compliance Monitoring at Fidelity International, you will be instrumental in overseeing surveillance activities across communication, trading, and regulatory processes. Your main role involves monitoring investment professionals' communications, detecting misconduct or market abuse, and aiding investigations while maintaining detailed documentation. Additionally, you will contribute to various monitoring activities conducted by the Investment Compliance team. **Key Responsibilities:** - Assist in conducting periodic surveillance controls related to investment management and client brokerage activities at FIL - Monitor electronic communications and trading activities using vendor and proprietary tools, investigating exceptions as needed - Lead data-driven deep dives and thematic reviews on best execution, customer treatment, market conduct, etc. - Identify, escalate, resolve, and report compliance exceptions following internal policies and regulatory requirements - Administer monitoring tools, produce management reports, and participate in change management initiatives - Act as a liaison between Compliance, Technology, and Business teams to ensure smooth adoption of changes - Build effective relationships with other functional areas for timely information exchange and task completion - Meet defined SLAs, assist in other projects as necessary **Experience and Qualifications Required:** - 5-7 years of monitoring and surveillance experience in the financial services industry - Bachelor of Business or Commerce degree preferred - Logical, critical thinker with strong organizational and communication skills - Good understanding of trading, investment management, and research practices - Familiarity with data visualization tools and AI platforms is advantageous - Knowledge of international regulatory frameworks and market abuse typologies - Experience in designing systems testing plans and test cases, with an interest in emerging technologies Joining Fidelity International offers a comprehensive benefits package and prioritizes your wellbeing and professional development. The company fosters a flexible work environment to ensure a balanced and motivating atmosphere for all employees. If you seek to be part of a supportive team dedicated to building better financial futures, Fidelity International could be the perfect fit for you. Explore more about the company's work and dynamic approach to working at careers.fidel
