Compliance Advisor

Soteria Reinsurance Ltd.; Greater London; On-site; GBP 60,000 - 90,000; Full time

Job summary

Fidelity in London is seeking a Compliance Advisor to perform daily trade monitoring across equity, fixed income, and alternative funds, ensuring adherence to investment policy limitations and reporting.

You will educate portfolio managers and traders on guidelines, support the Information Barrier program, and work with regulators to implement change projects, serving as the first contact for portfolios’ state of compliance.

Qualifications

• Undergraduate degree in a business-related discipline preferred.
• 1-4 years’ experience in asset management compliance or trade monitoring.
• Experience from other core financial services functions with an interest in compliance encouraged.
• Excellent communication skills, with confidence presenting to senior investment professionals and management.
• Strong analytical skills, resourcefulness, problem-solving abilities, and attention to detail.
• Ability to collaborate across functions and drive improvements via technology.

Responsibilities

• Daily trade monitoring for equity, fixed income and alternative funds to ensure policy compliance.
• Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; implementing timely reporting.
• Providing Asset Management Compliance leadership with information on current trends and issues and recommending strategies for improvement.
• Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders.
• Supporting the Information Barrier programme, assessing inadvertent receipt of non-public information, establishing and removing information barriers.
• Working with the team to collaborate with local and global regulators, and to support regulatory change projects.
• The Compliance Advisor will be responsible for reducing risk of trade error and portfolio compliance violations through real time and post trade monitoring; first point of contact for investment professionals.

Skills

Communication skills

Analytical skills

Attention to detail

Interpersonal skills

Process improvement

Technology solutions

Collaboration

Education

Bachelor's degree in business-related discipline

Job description

## Compliance AdvisorApplylocations: London, Great Britaintime type: Full timeposted on: Posted Todayjob requisition id: 2131790## ## Job Description:**The Role** * Daily trade monitoring for specific equity, fixed income and alternative funds to ensure that investment policy limitations are followed* Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting* Providing the Asset Management Compliance leadership team with information on current trends and issues recognised during assignments, and recommending & implementing strategies plans for improvement* Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders* Supporting the Asset Management Information Barrier programme, including assessing inadvertent receipt of non-public information, establishing, and removing information barriers.* Working with the team to ensure ongoing collaboration with local and global regulators, and to support regulatory change projects.**The Expertise and Skills You Bring*** Strong academic track record (with undergraduate degree in a business-related discipline preferred)* 1-4 years’ experience in asset management compliance or trade monitoring would be a strong advantage* Candidates from other core financial services functions (operations, risk, etc.) with an interest in compliance are encouraged to apply* Excellent communication skills, with confidence presenting to senior investment professionals and management* Strong analytical skills, resourcefulness, problem-solving abilities, and attention to detail* Valued teammate with good interpersonal skills and like to work collaboratively across functions* Interested in identifying key opportunities for process improvement through technology solutions**The Team**Asset Management Compliance (“AMC”) works closely with Fidelity’s investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernisation, and talent development. AMC associates are focused on delivering sound guidance and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry.The Compliance Advisor will be responsible for proactively reducing the risk of trade error and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. As part of the AMC UK team, they will be the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance in relation to Equity, Fixed Income, High Income, and FX trading.## ## Certifications:## ## Category:## Compliance