Vice President, Asset Management Compliance

Fidelity Investments • Smithfield, RI

113d • $123,000 - $207,000

About The Position

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 passionate about providing sound mentorship and creative solutions in a timely and responsive manner to support Asset Management in delivering the best customer experience in the financial services industry.

Requirements

• Minimum years of work experiences: Bachelors or equivalent with 12+ years of asset management compliance experience or Masters with 10+ years of asset management compliance experience.
• Strong background in fund formation for alternatives as well as operational, distribution, and compliance matters.
• Experience with various asset classes including hedge funds, managed futures funds, liquid alternatives, Business Development Companies, private equity, private credit, real estate.
• Solid understanding of the asset management laws and regulation, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1936, the Commodity Futures Modernization Act of 2000, the related SEC, CFTC and NFA rules and regulations as well as knowledge of industry practices relating to alternative investments.

Responsibilities

• Actively participate in the development and support of an Alternatives compliance program and be the lead compliance subject matter expert for liquid alternatives.
• Provide ongoing management of Alternatives compliance program as one of the AMC subject matter experts in Alternatives compliance team.
• Support Compliance Operations, Reporting and Data considerations.
• Provide oversight and guidance to investment teams and business leaders as Fidelity grows its alternatives business through the development and evolution of an Alternatives compliance programs.
• Support Alternative's investment strategies, partnering with internal leadership and product development teams.
• Develop and maintain a robust compliance program that fits and evolves around the Alts businesses.
• Assist with the growth and development of the compliance team.
• Provide oversight and guidance to investment teams and business leaders of the Alts business.
• Provide compliance support and oversight of various aspects to Fidelity's registered and private funds and investment advisory services.
• Support the alternatives compliance review of marketing materials.
• Provide oversight as one of the leaders and the contact person for the investment teams on matters involving conflicts management.

Benefits

• Comprehensive health care coverage and emotional well-being support.
• Market-leading retirement.
• Generous paid time off and parental leave.
• Charitable giving employee match program.
• Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree