Senior Advisor, Asset Management Compliance

Fidelity Investments • Merrimack, NH

5d • Hybrid

About The Position

The Role Support the operations of Fidelity’s Asset Management Compliance program with a focus on aggregate limit monitoring Perform real time and pre-trade support, and resolve post trade incidents to ensure compliance with internal requirements and external regulations Monitor complex investment strategies and provide guidance on compliance issues Educate investment professionals on applicable compliance limits and implement effective mechanisms to provide timely reporting Provide Asset Management Compliance leadership 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 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 compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. This team is the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance. Investment compliance support spans across all product types.

Requirements

• Bachelor's degree in a business discipline (finance, general business or economics) preferred, with 6 years of experience
• Comfortable with pre-trade compliance and/or order-management technology
• Experience in financial services industry
• Deep experience in the industry, preferably in the area of investment compliance, investment support, or investment 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
• Excellent judgement, issue management, and problem-solving skills

Responsibilities

• Support the operations of Fidelity’s Asset Management Compliance program with a focus on aggregate limit monitoring
• Perform real time and pre-trade support, and resolve post trade incidents to ensure compliance with internal requirements and external regulations
• Monitor complex investment strategies and provide guidance on compliance issues
• Educate investment professionals on applicable compliance limits and implement effective mechanisms to provide timely reporting
• Provide Asset Management Compliance leadership 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees