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Manager- Communication Surveillance

Employer
Fidelity International
Location
Gurgaon, India
Salary
Competitive
Closing date
13 Jun 2024

View more

Sector
Marketing, Advertising and PR
Role
Manager
Contract Type
Permanent
Hours
Full Time

Job Details

About the Opportunity
Job Type: Permanent

Application Deadline: 30 June 2024

Job Description

Title: Manager- Communication Surveillance
Department: General Counsel Shared Services
Location: Gurgaon, India
Reports To: Associate Director - Investment Compliance
Compensation: Grade 5

We are 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 ("GC") Shared Services team and feel like you are part of something bigger.

About your team
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 of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function.

About your role

The primary function of the role is to support the business requirements for electronic communications monitoring and surveillance, including social media monitoring. You will be responsible for monitoring communications across multiple channels of the firm's professionals to detect misconduct, usage of unapproved communication platforms, or behavior to obtain reasonable assurance that the relevant internal policies and procedures and applicable laws and regulation are adhered to. In addition, there will be opportunities to perform other monitoring performed by the firm's Investment Compliance function. Working with a range of stakeholders, the candidate will be responsible for identifying and documenting review needs. The role will be working as part of an expanding vertical within GC Shared Services, partnering with businesses and key stakeholders from Operations and Regulatory Compliance in FIL Canada to deliver the desired business outcomes. Collaborative operating style with a focus on working together with others to achieve great outcomes for the business will be a key.

Key Responsibilities-

• Monitoring of firms professional's communications using the communications surveillance tool to detect any instances of market misconduct, usage of unapproved communication platforms or violation of internal policies/regulatory requirements.
• Responsible for maintaining procedures related to overseeing electronic communications monitoring and enhancing oversight mechanisms.
• Leading the ongoing expansion and calibration in related projects to support the expansion of surveillance scope to include additional communication channels and behaviors.
• Proactively recommend opportunities to leverage technology including to drive the compliance program and enhance insight and efficiency, and work with the Compliance Team in Canada to support this.
• Review and validate compliance of the organisation's Social Media Policy by reviewing Sales and Marketing employee LinkedIn and other social media posts and sales communications, to detect non-compliance.
• Identify any areas on non-compliance with other programs under scope, and report accordingly to Management.
• Support the creation or update of assigned policies and procedures and stay up to date on regulatory matters related to changes, and analyze their impact.
• Reviewing exceptions - Identify, track, resolve and report compliance exceptions in-line with internal policy and regulatory requirements.
• Escalating issues to business partners, including follow up communication with senior stakeholders.
• Review of alert volume and patterns regularly to identify and minimize false positives, ensuring efficient detection of potential violations.
• Develop and implement bespoke monitoring capabilities tailored to the evolving business needs.
• Supporting the development and maintenance of management information reports, metrics and dashboards based on complex data sets.
• Reviewing and drafting internal procedures, policies and guidance where required.

About you
The ideal candidate will have:

• 8+ years of prior experience in compliance, including a surveillance role at a financial services industry or asset management firm.
French language proficiency (reading, writing and speaking) is an added advantage.
• Experience of designing, testing and calibrating surveillance models and parameters.
• The ability to work and prioritize independently coupled with the judgement to involve management with issues as needed.
• Entrepreneurial inclination - ability to work alone and act as a business specialist.
• Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables;
• Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.

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.

For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

Company

Looking after you and your future

Here at Fidelity International, we care about people. You’ll have the freedom to take control of your career while we support your development in an environment surrounded by smart, passionate people. Simply because we believe that growth is key for long-term success. That’s why we provide regular training, mentoring and networking opportunities across the business - to support you and hone your skills as you progress within your current role and beyond. Our end goal is to help one another achieve the best personal and business outcomes.

We invest in you

Helping our people develop is at the core of our business. We believe that everyone should have the freedom to move in a direction that feels right for them. Career development isn’t a simple training course, or a qualification – it’s about satisfying curiosity and every individual’s goals, both professional and personal. We constantly look for new ways to help our people enjoy a fulfilling and long-term career at Fidelity.

What we have to offer

Depending on your location and job role, we offer benefits that are flexible and adaptable to your life stages, career and family circumstances. The benefits are designed to benefit both you and your family with support for physical, financial and emotional wellbeing.

Healthcare, medical checks and helplines - benefits to support mental and physical well-being for you and your family

Pensions, savings and discounts - retirement and savings that provide for your future

Life cover, company sick pay and family leave - financial protection that offers piece of mind should the unexpected occur

Our differences make us stronger

If you work here, you’ll find that we care deeply about creating a supportive place where all our people feel valued and free to be themselves. For us, commitment to Diversity and Inclusion is not only right, it’s critical for a healthy culture and leads to better business outcomes. That’s why we have an environment where all our differences are welcomed and celebrated.

Over the years, we have made huge progress on Diversity and Inclusion. But we are dedicated to improving and will continue to progress on creating an environment that reflects the full diversity of the communities where we work, and on making sure that all our people feel they belong.

Our strategy

We have set three company-wide priorities for our global Diversity and Inclusion strategy:

Diversity - Increase the diversity of people at all levels of our organisation

Inclusivity - Strengthen our inclusive culture where everyone’s voice is heard

Reputation - Enhance our presence with clients and communities as an inclusive company

How we encourage inclusion and diversity

At Fidelity, we value and respect all the differences that make us who we are, including: age, cultural background, ethnicity and race; disability and mental health, gender, gender identity and expression, sexual orientation, and social background. Our activities focus on these global priorities:

Cultural diversity

With 46 offices across 27 countries, we have a wonderfully diverse community and have respect for different cultures, nationalities, ethnicities and beliefs.

Enable

We are committed to improving accessibility and enablement for our employees with different abilities and health conditions.

Gender

We are dedicated to achieving a greater gender balance and narrowing the gender pay gap.

LGBT+

We embrace our LGBT+ employees and communities, and support people to express their sexual orientation and gender identity at work.

Fidelity for Everyone

Each of our regions has a Fidelity for Everyone network which aims to involve our people in supporting and strengthening inclusion and diversity through speaker events and activities. We also host networking events and provide opportunities for people to let us know how we can improve.

Here’s how we support and encourage accessibility and enablement:

  • Signatory of The Valuable 500 to make disability a business leadership issue
  • Enable disabled employees and job candidates to perform to the best of their ability through making reasonable adjustments
  • Our Mental Health Champions promote an open culture around mental health
  • Celebrate business success stories of our disabled role models
  • Uphold best practice digital accessibility standards for employees and customers

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