Senior Associate - Investment Compliance Monitoring

Responsibilities

• Perform periodic and recurring surveillance controls regarding investment management and client brokerage activities.
• Monitor electronic communications (email, Bloomberg, Zoom, Teams, Voice) and trading activities to detect misconduct or market abuse.
• Investigate exceptions using vendor and proprietary tools and escalate issues in line with internal policies.
• Lead data-driven deep dives and thematic reviews concerning best execution, conduct of business, and conflicts of interest.
• Assist in the calibration and administration of monitoring tools and the production of management reports.
• Participate in change management initiatives, including the planning, testing, and implementation of new systems or procedures.
• Act as a liaison between Compliance, Technology, and Business teams to ensure seamless process adoption.

Requirements

• 2-5 years of relevant experience in monitoring and surveillance within the financial services industry.
• Strong understanding of market abuse typologies and international regulatory frameworks.
• Solid knowledge of trading, investment management, and research concepts.
• Bachelor’s degree in Business or Commerce preferred.
• Excellent communication and interpersonal skills with the ability to coordinate with global stakeholders.
• Ability to think logically and critically while working under pressure to meet defined SLAs.

Preferred Qualifications

• Familiarity with data visualization tools and AI-enabled platforms.
• Experience designing systems testing plans and test cases.
• Interest in emerging technologies within the compliance space.

About the Company

Fidelity International is a global investment management organization that has been helping clients build better financial futures for over 50 years. Our General Counsel Shared Services function provides high-value independent advisory and assurance expertise through specialist teams in Legal, Risk, Compliance, Tax, and Public Policy.