Job Description

About the Opportunity

Job Type: PermanentApplication Deadline: 31 July 2026

Title Senior Manager- Group Conduct - Intelligence and Operations

Department General Counsel

Location India

Reports To Head - General Counsel Shared Services

Level Grade 6

We’re 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 you’re part of something bigger.

About your team

The role supports the Group Conduct Intelligence and Operations team in India and Dalian. The Group Conduct Intelligence and Operations team is a part of General counsel shared services and is currently responsible for monitoring employee compliance with Fidelity’s 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 Group’s Code of Conduct to senior management and Fidelity’s Boards.

About your role

The Senior Manager – Personal Account Dealing (PAD) is responsible for leading Fidelity's Personal Account Dealing programme, ensuring employee trading activities comply with internal policies, regulatory requirements, and conflict-of-interest standards. The role provides strategic oversight of monitoring, investigations, reporting, controls, and continuous improvement initiatives while managing a team of compliance professionals.

The role works closely with Compliance, Risk, Legal, HR, Internal Audit, and senior business stakeholders to identify, assess, and mitigate employee conduct risks.

Personal Account Dealing Oversight

• Lead the end-to-end Personal Account Dealing monitoring programme.
• Oversee employee trading surveillance and pre-clearance processes.
• Ensure adherence to Personal Account Dealing, Personal Conflicts, and Price Sensitive Information policies.
• Review complex employee trading scenarios and provide guidance on policy interpretation.
• Approve escalations and determine appropriate actions for policy breaches.

Investigations & Risk Management

• Lead investigations into employee trading breaches and conduct violations.
• Engage directly with employees and managers to obtain explanations and supporting evidence.
• Assess regulatory, reputational, and conduct risks arising from identified violations.
• Ensure timely escalation of significant breaches to senior management and governance forums.

Reporting & Governance

• Produce and present management information, dashboards, and conduct risk metrics.
• Prepare materials for senior leadership, risk committees, regulatory reviews, and board reporting.
• Track emerging conduct trends and recommend risk mitigation actions.
• Ensure accurate and timely regulatory and internal reporting.

Team Leadership

• Lead, mentor, and develop a high-performing global PAD team.
• Establish clear objectives, performance standards, and development plans.
• Foster a culture of accountability, collaboration, and continuous improvement.
• Manage workload planning and resource allocation across locations.

Stakeholder Management

• Build strong relationships with Compliance, Legal, Risk, HR, Internal Audit, and business leaders.
• Act as a trusted advisor on personal trading and conflict management matters.
• Support policy reviews and provide subject matter expertise for strategic projects.

Process Improvement & Automation

• Identify opportunities to improve efficiency, controls, and employee experience.
• Lead automation, digitisation, and data analytics initiatives across PAD operations.
• Drive continuous improvements in monitoring, reporting, and investigation processes.
• Support implementation of regulatory change and technology enhancements.

About you

Experience, Qualifications and Skills Required

Essential

Qualifications & Experience

• 8–12 years' experience in Compliance, Conduct Risk, Employee Trading Surveillance, Personal Account Dealing, or related financial services functions.
• Strong understanding of employee dealing regulations, conflicts of interest, and market conduct requirements.
• Experience leading investigations and managing regulatory or conduct risks.
• Demonstrated people leadership experience.
• Excellent stakeholder management and influencing skills.

Preferred

• Experience within Asset Management, Banking, Wealth Management, or Financial Services.
• Professional qualifications in Compliance, Risk, Law, Finance, or related disciplines.
• Experience with PAD monitoring platforms and surveillance tools.
• Knowledge of equities, fixed income, mutual funds, ETFs, derivatives, and other financial instruments.

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.