Compliance Associate

Job Description:

Asset Management Compliance (“AMC”) – Asia Compliance team works closely with Fidelity’s Equity Investments and Private Investments teams to ensure compliance with global and local 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 modernization, and talent development. AMC associates are passionate about 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 Expertise and skills you bring

• Bachelor’s degree
• 3-5 years of experience in a financial services environment, preferably in the areas of mutual fund compliance, operations, or risk management
• You have outstanding written and verbal communication skills
• You have good analytical skills
• You demonstrate strong organizational skills and ability to multi-task without sacrificing quality
• You have the ability to work independently as well as being part of a team
• Mandarin and/or Japanese language skill will be a plus

The Value You Deliver

• Supporting the operations of the Fidelity compliance programs by daily monitoring of trade activities for funds and accounts to ensure that investment guidelines and restrictions as well as policy requirements are followed.
• Implementing effective mechanisms to provide timely reporting and monitoring of complex investment strategies.
• Supporting the Asset Management Information Barrier program, including assessing inadvertent receipt of material non-public information as well as establishing and removing information barriers.
• Providing AMC management with information on current trends and issues recognized during assignments as well as recommending plans for issue resolution and process improvement.
• Working with the team to ensure ongoing collaboration with local and global regulators as well as providing support on regulatory change projects.

The Team

The Compliance Associate is a valuable member of the Asia Compliance team based in Hong Kong, supporting the ongoing success of the compliance monitoring program both locally and globally.  Sitting with the trading desk in a fast-paced and exciting environment, you will liaise with portfolio managers, research analysts, traders as well as colleagues in legal, information technology, operations, and finance. You will play a meaningful role in the safeguarding of regulated activities.  You will also liaise with AMC colleagues located in Japan, the UK and the US on compliance monitoring, trading and information barriers related matters as needed.

Certifications:

Category:

Compliance