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