Analyst, Compliance Advisor

Fidelity Investments•Boston, MA

2d•$60,000 - $115,000•Onsite

About The Position

The Asset Management Compliance (“AMC”) team works closely with Fidelity’s investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies. The AMC Operations and Oversight team consists of four main functions: Product and Rules Management, Trade Monitoring, Oversight and Reporting and Information Barriers/Material Non-Public Information (“Control Room”). This role involves establishing and maintaining compliance rules, supporting daily monitoring of pre and post-trade activities, reporting beneficial ownership, determining impacts to filing requirements, identifying and resolving potential material non-public information and information barrier matters, and communicating with portfolio managers, traders, and internal business partners. The role also involves providing AMC management with information on current trends and issues, recommending improvements, and participating in strategic initiatives.

Requirements

Bachelor's degree in a business discipline (finance, general business or economics) preferred
Experience in the financial services industry, compliance and/or operations
Excellent communication skills, when needed to present on investment compliance topics and to senior investment professionals
Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
Valued teammate with good interpersonal skills and like to work collaboratively across functions
Able to identify key opportunities for improvements in process through technology solutions

Nice To Haves

Asset management regulatory and policy experience a plus

Responsibilities

Establishing and maintaining compliance rules in the core compliance engine
Supporting daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
Reporting of beneficial ownership in an accurate and timely manner
Determining impacts to filing requirements based on internal and external factors (e.g., investment strategies, corporate restructuring, regulatory changes)
Identifying and resolving potential material non-public information and information barrier matters
Communicating to and educating portfolio managers, traders and internal business partners regarding client, regulatory, prospectus, Board, and internal policies
Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement
Participating in and leading strategic initiatives within the team and in partnership with various business partners