Manager - Investment Compliance Monitoring

About the Opportunity

Title                             Investment Compliance Monitoring - Manager    

• Department                 General Counsel Shared Services
• Location                      Gurgaon, India
• Reports To                  Senior Manager - Investment Compliance Monitoring
• Level                            5

We’re proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like you’re part of something bigger.

General Counsel Shared Services

General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (“FIL”), providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management. The GC Shared Services function is a global centre of expertise currently located in Dalian and India, providing operational support and services to the General Counsel function.

Global Investment Compliance:

The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity’s Asset Management Platforms. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups.

Investment Compliance Monitoring:

The Investment Compliance Monitoring team forms a crucial component of the Global Investment Compliance department, with teams located in Japan, Hong Kong, London, and Gurgaon. The team supports the implementation and continuous execution of trading, communication, and other regulatory surveillance processes. This involves examining alerts, identifying potential market abuse or misconduct, escalating issues, supporting investigations, and strengthening surveillance controls. The team works closely with global stakeholders, supports system testing and optimisation, and plays a key role in enhancing processes and maintaining thorough documentation.

About your role

The role supports monitoring trading activity in stocks listed on the Tokyo Stock Exchange and other relevant market conduct surveillance activities. You will be responsible for monitoring trading in accordance with market regulations and guidelines to detect suspicious transactions that might constitute market abuse. In addition, there will be opportunities to perform other activities undertaken by the firm’s Investment Compliance function.

Key Responsibilities

• Using proprietary and market-leading tools to perform recurring exception monitoring of FIL’s trading and other investment activities and investigates exceptions and incidents which include, but not limited to, best execution, fair allocation, market conduct, and conflicts of interest;
• Respond to requests and inquiries from regulators, exchanges and industry bodies, including the SESC, KLFB, JSDA, JPX, and IMAJ..
• Assisting with thematic reviews, desktop reviews and projects;
• Coordinate and collaborate with internal teams in relation to periodic regulatory supervisory inspections.
• Supporting the monitoring and analysis of regulatory trends and changes to the various rules and regulations impacting FIL’s investment functions and working closely with and advising internal stakeholders on the impact of such trends and changes.
• Supporting the development, review and implementation of changes to policies and procedures related to FIL’s investment functions.
• Develop effective working relationships with other functional areas to support the timely receipt of information required to complete monitoring and review activities.
• Provide a high-quality and timely service to internal stakeholders.

Experience and Qualifications Required

• Strong analytical capabilities and excellent communication and interpersonal skills.
• Native Japanese speaker or highly fluent in Japanese, demonstrated by successful completion of JLPT N1. Fluency in English is also required.
• 7+ years of experience in the financial services industry in an oversight, compliance monitoring, surveillance, or securities operations capacity, with a firm understanding of concepts and practices relating to equities trading.
• Good understanding of Japanese regulations and market practices, including but not limited to the Financial Instruments Exchange Law, JSDA Rules and Guidelines, and the Tokyo Stock Exchange Regulations.
• Experience responding to regulator or exchange enquiries, supporting regulatory inspections, or assisting with investigations would be advantageous.
• Strong ability to analyse trading activity, identify unusual patterns, document investigation outcomes and escalate issues appropriately.
• Excellent written and verbal communication skills in Japanese and English.
• Practical knowledge and skilled in using MS Office applications, especially PowerPoint, Excel and Word.
• Professional certification such as JSDA Internal Control Supervisor (Naibu Kanri Sekininsha) qualification or CAMS, CISI, CFA, FRM, or CPA is desirable but not essential.
• A global perspective and cultural awareness, with the ability to work effectively across regions and time zones.
• Strong attention to detail, accuracy, and investigative discipline, with professional scepticism and sound judgement.
• High degree of integrity, discretion, and ability to handle confidential or sensitive matters.
• Ability to collaborate effectively with stakeholders, clearly articulate issues to senior management, and challenge constructively where required.
• Strong self-motivation, organisation, prioritisation, and time management skills. Positive team player with the ability to work independently and take initiative.

Feel rewarded

For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.