Associate Director - Investment Compliance Advisory

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Fidelity International.
  • 17 Jan 17

Reporting to the Head of Investment Compliance Asia Pacific, your role is to oversee, coordinate and take lead role in the compliance advice and support provided by the Investment Compliance function to the investment teams based in the region, including fund managers, research analysts, trading desks, corporate finance and their respective support groups.

Department Description

Global Investment Compliance is responsible for providing portfolio and trading desk monitoring, compliance advice and support to investment teams based in Europe and the Asia Pacific, including fund managers, research analysts, trading desks, corporate finance and their respective support groups.  In connection with its portfolio compliance monitoring responsibilities, the team also engages with Institutional Services and Product Management, and other support functions, including Business Compliance, Legal, Risk and Investment Services. 

Key Responsibilities

Management and Leadership
• Consciously create a workplace culture that is in line with Fidelity’s core values of innovation, integrity and excellence.
• As a senior member within the team, operate as a role model and leader within the function and actively support fostering a cohesive, creative, and efficient working environment within the team.
• Emphasize quality, continuous improvement and high performance within the team.

Investment Compliance Advisory
• Be the primary Investment Compliance liaison for investment management functions across the Asia Pacific region for providing advice, guidance and compliance support on various day to day matters.
• To collaborate and partner with legal, compliance and other oversight teams across the region / globally to represent the investment compliance function on various regulatory and policy related discussions.
• Keep abreast of, monitor, and analyze regulatory trends and changes in various rules and regulations impacting the investment management functions and proactively advise the management, including various internal stakeholders, of the impact of such trends and changes.
• Develop, review and recommend risk-based 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.
• Collaborate actively with team members and colleagues from other departments to support, advice and participate in the development of any new investment product, business initiatives and any regional / global projects as may be required from time to time.
• Provide written responses to inquiries of a regulatory nature, supporting analysis, conclusions and recommendations upon well investigated and documented research of applicable facts, circumstances and regulatory requirements.
• Represent Investment Compliance on regional and global committees and working groups as required.
• Take lead and/ or participate, as required, in various regulatory developments and consultations.
• Contribute to the development of compliance training programmes across the investment management function.
• Provide a high quality timely service to various internal stakeholders.
• Actively participate, and take a lead role, if required, in relevant investment and compliance projects and range of other FIL-wide projects or tasks as may be required from time to time.

Working Relationships / Contacts

• Investment Compliance departments in London, Hong Kong and Japan
• Portfolio Managers, Trading Desks, Corporate Finance teams, Portfolio Services Group
• Institutional business, Client Service Managers and Relationship Directors
• Product Development teams
• Legal, Business Compliance, Risk and other oversight functions
• Investment Administration
• Compliance Systems Support
• Data Management Services

Experience and Qualifications Required

• 12+ years’ experience in a Compliance department within a large, global asset management firm or other comparable or relevant environment.
• Strong instrument knowledge and understanding of equities and fixed income and their derivatives
• Qualified lawyer, accountant or financial analyst (CA, CFA or equivalent qualification preferred)