Senior Manager - Investment Compliance Advisory

Fidelity International
Hong Kong, Hong Kong
Jan 08, 2021
Feb 07, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Department Description

Investment Compliance is responsible for providing compliance advice and support on FIL's investment management process to investment teams based in Asia Pacific and Europe which includes portfolio managers, research analysts, trading desks, corporate finance, and their respective support groups. The department also liaises and advises other teams including Retail/Institutional distribution teams, Legal, Risk, and Compliance teams located in other jurisdictions.

Purpose of the Role

Reporting to the Head of Asia Investment Compliance Advisory, your role is to be actively engaged in providing compliance advice and regulatory support to the investment management teams based in the region, including portfolio managers, research analysts, trading desks, corporate finance and their respective support groups.

Key Responsibilities

  • Be a key Investment Compliance liaison for investment management functions across the Asia Pacific region, particularly portfolio managers, traders and corporate finance teams, in providing advice, guidance and compliance support on various day to day matters
  • Actively support development, review and implementation of changes to policies and procedures related to investment management functions to ensure compliance with applicable regulations. You may also be required to coordinate regionally / globally and support implementation of internal policies and procedures applicable to the investment management functions
  • Keep abreast of, monitor, and analyze regulatory trends and changes in various rules and regulations impacting the investment management functions and work closely in advising the management team, including internal stakeholders, of the impact of such trends and changes
  • To collaborate and partner with Legal, local Compliance and other oversight teams across the region / globally to represent the Investment Compliance function on various regulatory and policy related discussions
  • Collaborate actively with Investment Compliance team members and colleagues from other departments to provide compliance and regulatory advice and support for development of any new investment product, business initiatives and any regional / global projects as may be required from time to time
  • Provide support on various regulatory inquiries, particularly related to the investment management activities
  • Contribute to the development of compliance training programmes across the investment management function.
  • Provide high quality, timely service to various internal stakeholders
  • Actively participate in relevant investment and compliance projects and a range of other FIL-wide projects or tasks as may be required from time to time

Experience and Qualifications Required

  • 6+ years experience in a Compliance function within a large, global asset management firm or other comparable or relevant environment
  • Strong knowledge of buy-side investment processes and understanding of equities, fixed income and their derivatives
  • CFA or equivalent qualification preferred
  • Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control teams
  • Positive team player, ability to be flexible and adapt to a changing environment
  • Strong analytical skills, problem-solving ability and attention to detail, with investigative and questioning nature and ability to make sound decisions
  • Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes
  • Excellent interpersonal skills; experienced communicating and consulting at all levels especially senior management both verbally and in writing
  • Strong IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage

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