Advisor, Asset Management Compliance
Job Description
Job Description:
Compliance Advisor
The Role
Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and alternative funds and accounts to ensure that their investment policy limitations are followed
Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
Monitoring complex investment strategies
Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement
This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working.
The Expertise and Skills You Bring
Bachelor's degree in a business discipline (finance, general business or economics) preferred
Knowledge of or experience in the financial services industry, compliance and/or operations
Pre-trade compliance and/or order-management technology experience a plus
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
Note: Fidelity is not providing immigration sponsorship for this position
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. 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.
The base salary range for this position is $74,000-141,000 USD per year.Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.
Certifications:
Category:
ComplianceJob Description:
Compliance Advisor
The Role
Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and alternative funds and accounts to ensure that their investment policy limitations are followed
Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
Monitoring complex investment strategies
Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement
This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working.
The Expertise and Skills You Bring
Bachelor's degree in a business discipline (finance, general business or economics) preferred
Knowledge of or experience in the financial services industry, compliance and/or operations
Pre-trade compliance and/or order-management technology experience a plus
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
Note: Fidelity is not providing immigration sponsorship for this position
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. 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.
The base salary range for this position is $74,000-141,000 USD per year.Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.
Certifications:
Category:
ComplianceAbout Fidelity Investments
At Fidelity, since our founding in 1946, we have been dedicated to strengthening and security our clients’ financial well-being through exceptional service and innovative solutions. We empower over ~50 million people to achieve their most important financial goals, manage employee benefit programs for nearly 24,000 businesses, and support more than 16,000 wealth management firms and institutions with cutting-edge investments and technology. Our diverse business portfolio and independence provide us with a comprehensive view of the market and the stability to deliver long-term value for our customers. As the financial industry evolves and customer needs grow more complex, Fidelity continues to reinvent, innovate, and transform to meet the challenges of tomorrow’s financial landscape.
*Specifically serviced by our Clearing & Custody team within Fidelity Institutional
Fidelity TalentSource, is the in-house temporary staffing provider for Fidelity Investments. Unlike traditional staffing agencies, we are an internal business unit within Fidelity’s Talent Acquisition team, dedicated to recruiting talent from various backgrounds for roles in Fidelity’s regional and investor center locations. Our mission is to help you experience Fidelity’s diverse and inclusive workplace while expanding your skill set and professional network, with the ultimate goal of conversion to full-time employment as part of Fidelity’s long-term strategy. To learn more about temporary positions at Fidelity Investments, visit FidelityTalentSource.com.
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