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Senior Compliance Advisor - 1516062

Company: Fidelity Investments
Location: Westlake, TX
Posted on: January 8, 2016

Job Description:

Duties: Responsible for developing the compliance-related policies and

procedures to effectively monitor India-based brokerage accounts of the

company’s U.S. and India-based employees.

Primary Responsibilities:

• Perform in-depth operational procedural reviews and audits for

U.S., India and other global locations, serving as dedicated Subject Matter

Expert (SME) for India-based brokerage accounts of U.S.-based employees.

• Consult and partner with Legal, Human Resources and Technology

teams to develop and implement Governance, Ethics and Regulatory Compliance

solutions to achieve an ethically compliant and do-it-right corporate

culture.

• Develop, initiate, maintain, and revise policies and procedures for

the general operation of the Compliance Program and its related activities.

• Define and review audits and compliance performance standards

across all functional areas.

• Report investigative information to internal stakeholders and

Compliance Committee.

• Prepare management reports of compliance metrics to measure

compliance effectiveness and implement ongoing compliance monitoring and

surveillance practices.

• Establish and maintain collaborative working relationships internal

to the department and within Fidelity.

• Prioritize and track the progress of incidents, compliance matters

and audit observations.

• Research, analyze and draft initial response to moderate to complex

compliance incidents or inquiries.

• Assist with tracking the progress of remediation efforts and

escalate, as appropriate.

• Recommend compliance system enhancements and controls including

user testing and implementation.

• Advise department members and the business regarding compliance

policies and procedures, and notify appropriate parties when regulatory

issues will impact business activities.

• Prepare and conduct compliance training.

• Support U.S. and non-U.S. employee related oversight activities,

including statement compliance and account reviews.

• Ensure employee accounts are coded properly to enable compliance

monitoring and analysis

• Identify trends in recurring compliance inquiries and collaborate

with other team members to improve compliance procedures, processes,

education materials and policies.

• Support the personal trade pre-clearance process and the

distribution and acknowledgement of Ethics policies.

• Apply new technology-based solutions to specific internal control

processes.

• Participate in the testing, review and analysis of existing

internal controls and recommend enhancements.

• Assure firm-wide control over access administration.

Requirements: Master's degree (or foreign education equivalent) in

Management Information Systems, Business Information Systems, Computer

Science, Information Technology, Information Systems, Computer

Applications, Engineering, Mathematics or Physics and three (3) years of

experience in the job offered or three (3) years of experience designing,

implementing and testing of internal controls and compliance within a

global asset management or investment brokerage environment; or,

alternatively, a Bachelor’s degree (willing to accept foreign education

equivalent as well as three-year foreign bachelor’s degree) in Management

Information Systems, Business Information Systems, Computer Science,

Information Technology, Information Systems, Computer Applications,

Engineering, Mathematics or Physics and five (5) years of experience in the

job offered or five (5) years of experience designing, implementing and

testing of internal controls and compliance within a global asset

management or investment brokerage environment. Candidate must also

possess: Demonstrated Expertise (“DE”) developing policies and

procedures for covered securities employee trade monitoring programs and

systems for compliance with SEC regulations 17j-1, 38A1 and 204A; DE

designing and implementing test and validation protocols for employee trade

monitoring, systems and compliance reporting within a global investment

products and services environment; DE designing U.S. and India cross-border

employee trade monitoring systems and code of ethics policies and programs

for compliance with SEC regulations 17j-1; DE designing and implementing a

code of ethics program - employee trade monitoring, data operations,

training solutions for employees and compliance protocols and reporting -

within a global investments products and services environment.

To apply, visit http://jobs.fidelity.com and search for Job Number 1516062.

Keywords: Fidelity Investments, Dallas , Senior Compliance Advisor - 1516062, Finance , Westlake, TX, Texas


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