Senior Associate - Investment Compliance Advisory
Hybrid · Gurugram, Haryana, India
Job Summary
Senior Associate - Investment Compliance Advisory role focused on regulatory and compliance support for investment teams across asset classes. Responsibilities include maintaining the Fidelity Restricted List, reviewing indices for ESMA eligibility, implementing updates in Charles River, handling new derivative approvals for funds, preparing training materials, performing unlisted security reviews for UCITS funds, periodic review of expert network providers, annual certification of Fidelity equity funds per SEC FINRA 5130, and building relationships with senior management and internal partners. You’ll support the Global Investment Compliance Team by analyzing investment guidelines for FIL’s institutional and retail products, investigate post-trade violations, and contribute to ad hoc compliance projects. The role requires a university degree (finance/economics/accounting or similar), 3+ years in investment/compliance, strong analytical and communication skills, and proficiency with Microsoft Office; experience with Charles River or similar OMS is preferred. Flexible working arrangements are offered.
Required Qualifications
- University Degree preferable in Finance, Economics, Accounting or similar disciplines
- 3+ years’ of experience in relevant experience working in an investment firm
- Good attention to detail
- Previous use of a compliance order management system preferable (e.g. Charles River)
- Excellent communication skills both written and oral and ability to communicate with senior management
- Organised and possess time management skills while working in a fast pace environment
- Strong knowledge of Microsoft Office products with experience in Excel, Word and PowerPoint
Desired Qualifications
- 3+ years’ experience in relevant experience working in an investment firm
- Good attention to detail
- Strong knowledge of Microsoft Office products with experience in Excel, Word and PowerPoint
- Experience with compliance order management systems preferable (e.g. Charles River)
- Excellent communication skills both written and oral and ability to communicate with senior management
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