Director, Asset Management Compliance

Fidelity • Merrimack, NH

2d • Hybrid

About The Position

The Role Managing and overseeing a team of individuals responsible for pre-trade and post trade compliance monitoring which spans across all product types Providing strategic direction to meet both the team’s and organization’s goals Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders Providing AMC senior management with information on current trends and issues recognized during assignments and providing solutions Solving business problems with a focus on process improvements and automation Leading business initiatives and projects The Team Asset Management Compliance ('AMC') works closely with Fidelity’s investment teams across all asset classes to ensure compliance with global regulations, investor requirements, and corporate policies in the interest of promoting customer trust and confidence in Fidelity. AMC is committed to driving Fidelity forward through business partnership and stewardship, platform modernization, and talent development. AMC associates are focused on delivering sound guidance and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry. The Investment Compliance Monitoring Team, within AMC, is responsible for proactively reducing the risk of trade error and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations for specific equity, fixed income and alternative funds and accounts. This team is the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance.

Requirements

• Bachelor’s degree and typically 10+ years in the financial services industry, compliance, legal, risk, and/or audit experience
• Broad and deep experience in the area of investment compliance, investment support, or investment operations
• Strong leadership and talent development skills
• Exceptional relationship management, communication and influencing skills
• Independent thinker; accountable for and skilled in exercising sound judgment
• High degree of integrity and strong work ethic; orientation toward results; positive attitude
• Strong analytical, organizational, and problem solving skills
• Detail oriented with a focus on potential anomalies in trading and investment management behaviors
• Ability to explain complex regulatory and policy requirements to all levels of the organization

Responsibilities

• Managing and overseeing a team of individuals responsible for pre-trade and post trade compliance monitoring which spans across all product types
• Providing strategic direction to meet both the team’s and organization’s goals
• Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
• Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
• Providing AMC senior management with information on current trends and issues recognized during assignments and providing solutions
• Solving business problems with a focus on process improvements and automation
• Leading business initiatives and projects

What This Job Offers

• Job Type: Full-time
• Career Level: Senior