FTC Analyst - Group Conduct - Intelligence and Operations

Job Description

Title FTC Analyst- Group Conduct - Intelligence and Operations

Department General Counsel

Location India

Reports To Manager

Level Grade 2

Contract duration 7 months

Were 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 youre part of something bigger.

General Counsel

General Counsel (GC) is a trusted advisor to all parts of 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

About your team

The role supports the Group Conduct Intelligence and Operations team in India and Dalian reports into the Manager in India. The Group Conduct Intelligence and Operations team is a part of General counsel shared services and is currently responsible for monitoring employee compliance with Fidelitys Group Personal Conflicts, Trading and Price Sensitive Information Policies (the Policies). It is also responsible for reporting breaches of these Policies as well as breaches of the Groups Code of Conduct to senior management and Fidelitys Boards.

About your role

The Group Conduct - Intelligence & Operations Analyst will work closely with the Global Group Code of Conduct and Ethics teams to ensure all monitoring and reporting activities are carried out effectively.

• Prepare various reporting for Intelligence and Operations team like board report, senior management reporting
• Develop and regularly provide reports containing statistics from the personal trade monitoring system
• Regular production of reports/ dashboards on a periodic basis with focus on quality and consistency of data
• Regularly conduct monitoring of employee classification to ensure employees are classified according to the guidance issued. Where misclassification identified, liaise with HR and other relevant persons. Answer questions related to classification changes
• Work with the different teams to streamline/ continuously improve existing process
• Support the Intelligence and Operations team in India and Dalian with reviewing and addressing employee violations of the Personal Conflicts, Trading and Price Sensitive Information Policy. This entails seeking employee explanations for breaches identified, assisting with performing manual testing,
• Support Intelligence & Operations team members with reaching out to employees in situations where duplicate reporting does not appear to be set up by employees.
• Perform review the personal account dealing violation letters as per the code enforcement guidelines.
• Provide information for DDQ (due diligence questioners) to regional compliance offices.
• Support team members with other intelligence or monitoring activities carried out by the team and provide back-up coverage when needed.
• Assist with providing information to Internal Audit or Compliance Monitoring when requested.
• Develop and maintain procedures for the various activities conducted by this role.
• Monitor the teams mailbox for any correspondence related to the activities carried out by the team and respond to all relevant correspondence.
• Assist in tracking and coordination of key operational processes like RCSA

About you

Experience, Qualifications and Skills Required

Qualifications & Experience

• At least 3-5 years overall experience preferably in Financial Service. Exposure to compliance and risk management is preferable
• University (Bachelor) Degree preferably in Business, Finance, or a similar discipline
• MBA or equivalent qualification (preferred, but not mandatory)
• Knowledge of compliance tools (Preferable - Star Compliance, Actimize, My compliance office)
• Knowledge of the various types of publicly traded securities would be an advantage
• Experience based domain knowledge of General Counsel functions (Risk/ Compliance) would be an advantage

Essential Skills

• Excellent understanding of financial instruments.
• Proven experience in timely and accurate delivery of senior management reports
• Excellent written and verbal communication skills including superior report writing
• High degree of proficiency in MS excel (strong knowledge of pivot tables, data sorting, filters, etc). Ability to develop macros, will be of advantage
• Good degree of proficiency in MS Power Point including ability to develop clear, concise & compelling story lines for senior management
• Analytical approach and problem-solving skills - ability to analyse data (qualitative & quantitative) and generate improvement hypotheses
• Ability to work with stakeholders at all levels
• Ability to multi-task and priorities workload with a strong attention to detail.
• Self-motivated with an eagerness to learn and a positive work ethic
• Collaborative operating style with a focus on working together with others to achieve great outcomes for the business
• Utmost level of professional conduct and ability to exercise discretion/maintain confidentiality.

• Experience of the asset management industry would be an advantage
• Flexible and adaptable, responds rapidly to changing agendas
• Ability to use good judgement in the use of confidential information
• Clear open communication with a willingness to learn & listen