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Portfolio Compliance Monitoring - Senior Manager

Posted: 10 Oct 2021 Closes: 9 Nov 2021
Hong Kong Office Competitive
Permanent & Full-time 1656665854

About the opportunity

Department Description

The Portfolio Monitoring team is a global function based in Hong Kong and is part of FIL's Global Compliance Monitoring department. The team is primarily responsible for performing End of Day ("EOD") portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FIL's investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FIL's institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally

Purpose of Your Role

You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues - within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. This includes managing/supervising junior team members and ensure delivery of high-quality portfolio compliance monitoring and assurance activities across all funds and products managed by FIL globally.

Key Responsibilities

• Take lead role in ensuring that all applicable regulatory and/or IMA restrictions and guidelines, applicable to various FIL managed portfolios, are accurately set-up in the Portfolio Compliance Monitoring system.

• Actively participate in the launch of new complex products and investment mandates by advising various colleagues - within investment compliance as well as other functions, on the suitability of investment restrictions and guidelines in view of FIL's internal compliance systems and risk assessment framework.

• Evaluate investment restrictions for compliance testing and provide expert level guidance and support to the team members on Charles River rule coding, testing and related queries.

• Be the lead representative for the Global Compliance Monitoring function on the Charles River related technology projects and enhancements.

• Peer review CRD rule coding done by other team members to ensure accuracy and suitability of the rules coded in the compliance system.

• Assist in conducting other compliance monitoring including aggregate ownership monitoring, rules advice, and other investment compliance related matters and handling queries from investment professionals.

• Develop and maintain effective working relationships with other functional areas for timely receipt of information required for the completion of tasks.

• Mentor and guide more junior team members with rule coding in CRD and other related areas.

• Provide a high-quality timely service to internal and external customers

• Assist in a range of other FIL-wide projects or tasks as may be required from time to time.

Working Relationships / Contacts

• Investment Compliance Advisory teams in London, Hong Kong, and Japan,

• Portfolio Managers, Portfolio Services Group staff globally

• Relationship Directors and Client Service Managers

• Compliance Systems Support

• Product Development teams

• Legal

• Investment Administration

• Data Management Services

• Local Compliance Officers

• Trading Desks

Experience and Qualifications Required

• Strong knowledge and experience in portfolio compliance monitoring and rule coding using Charles River (or similar) systems

• Expertise in Charles River rule coding is preferred, so that you can conduct 'peer review' of the CRD rule coding done by other team members, review and sign-off rule forms (or any changes therein) as well as mentor and guide the team members with rule coding in CRD.

• 8-10 years' experience in working in the investment management industry (preferably buy side) and of investment products.

• Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements

• Strong instrument knowledge of equities, fixed income and derivatives

• Business-level verbal and written English communication / presentation skills

• Positive team player as well as the ability to work on their own initiative

• Strong analytical skills, problem-solving ability and attention to detail

• Investigative and questioning nature

• Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes

• Excellent inter-personal skills

• Strong IT skills including Microsoft Office, particularly Word, Excel and Outlook; Bloomberg and basic Macro would be an advantage

• Ability to make decisions that are reasonable and logical

About you

About Fidelity International

Fidelity International offers investment solutions and services and retirement expertise to more than 2.5 million customers globally. As a privately held, purpose-driven company with a 50-year heritage, we think generationally and invest for the long term. Operating in more than 25 countries and with $739.9 billion in total assets, our clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.

Our Workplace & Personal Financial Health business provides individuals, advisers and employers with access to world-class investment choices, third-party solutions, administration services and pension guidance. Together with our Investment Solutions & Services business, we invest $567 billion on behalf of our clients. By combining our asset management expertise with our solutions for workplace and personal investing, we work together to build better financial futures.

Our clients come from all walks of life and so do we. We are proud of our inclusive culture and encourage applications from the widest mix of talent, whatever your age, gender, ethnicity, sexual orientation, gender identity, social background and more.

As a flexible employer, we trust our people to perform their role in the way that works best for them, our clients and our business. We are a disability-friendly company and would welcome a conversation with you if you feel you might benefit from any reasonable adjustments to perform to the best of your ability during the recruitment process and beyond. Data as at 31 March 2021. Read more at

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