Senior Advisor, Regulatory Management

Fidelity Investments • Merrimack, NH

2d • Onsite

About The Position

The Senior Advisor, Regulatory Management provides expertise, analysis, and compliance support for regulatory matters. In this role you will assist in managing regulatory exams and inquiries, analyze regulatory developments and assess their impact, and help coordinate across Asset Management Compliance to provide guidance on an increasingly complex regulatory landscape. The Regulatory Management team within Asset Management Compliance (“AMC”) provides oversight, guidance, and strategic insight to investment teams and business leaders as Fidelity grows its business and its regulatory remit expands. The team monitors proposed regulatory changes and final rule pronouncements, collaborates with industry trade organizations, contributes to Fidelity’s overall regulatory viewpoint, and leads the coordination and management of regulatory exams and inquiries.

Requirements

• 5+ years of compliance, legal, and/or regulatory experience in investment management; or 4+ years’ asset management experience within a law firm.
• Solid understanding of federal securities laws, including SEC, CFTC, and NFA rules and regulations.
• Ability to analyze and interpret complex regulatory requirements and clearly communicate the impact of those requirements on Asset Management’s advisers and the Fidelity funds, both in writing and verbally.
• Excellent collaboration, communication, presentation, and relationship management skills.
• Outstanding organizational, prioritization, and communication skills to effectively handle multiple regulatory initiatives simultaneously.

Nice To Haves

• JD or other advanced degree preferred.
• Broad familiarity with Fidelity’s businesses, investment products, and operating model preferred.

Responsibilities

• Assist in managing regulatory exams and inquiries.
• Analyze regulatory developments and assess their impact.
• Help coordinate across Asset Management Compliance to provide guidance on an increasingly complex regulatory landscape.
• Monitor proposed regulatory changes and final rule pronouncements.
• Collaborate with industry trade organizations.
• Contribute to Fidelity’s overall regulatory viewpoint.
• Lead the coordination and management of regulatory exams and inquiries.
• Identify compliance processes that may require modification as a result of regulatory change and escalate appropriately.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed