Job Description:

Director, Asset Management Compliance

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 delivering sound guidance and creative solutions in a timely and adaptable manner to support Asset Management in delivering the best customer experience in the financial services industry.

The Role

As a lead compliance associate supporting strategic initiatives, you will build and maintain relationships with business partners, advise on policy matters, and coordinate key compliance related activities. You will partner with the broader AMC group to implement compliance programs, which support critical initiatives, new products, business partner engagement, and error resolution.

In this role, you will focus on Asset Management high growth initiatives, such as, alternative products or digital assets. You will have strong working relationships with Fidelity senior management, providing timely awareness of key risks, issues, and results with Asset Management leaders.

Applying to this job posting will allow the hiring team to consider your candidacy across multiple current openings within AMC.

The Expertise You Have

• Bachelor’s degree or equivalent
• At least ten years financial services experience with a preference for a background in compliance, legal and/or regulatory experience.
• Proven knowledge of financial services industry, preferably in the areas of alternative investments, digital assets, or exchange traded products.
• Strong understanding of asset management laws and regulations, including investment company, investment adviser businesses, and commodities rules as well as knowledge of industry practices relating to alternative investments or digital assets.
• Experience and technical expertise with practices that pertain to the asset management industry, including the investment process, derivatives and other instrument types, disclosure practices, trading and allocation issues, fund treasury and accounting matters, transfer agent, distribution, and custodial practices.
• An understanding of compliance programs, including compliance policies and procedures, control frameworks, and risk assessments, with an approach to evaluate opportunities for improvements.

The Skills Your Bring

• Excellent communication, influencing and relationship management skills.
• Ability to connect with senior investment professionals and maintain integrity under time pressure.
• Excellent interpersonal skills and the ability to work collaboratively across functions.
• Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
• Ability to understand complex issues and regulatory requirements and to provide clear and concise explanations in written and verbal communications.
• Outstanding organizational skills, including leading project teams while also contributing individual work.
• Ability to drive operational improvements through technology solutions.
• Outstanding people and leadership skills

The base salary range for this position is $100,000-$169,000 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.

Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.

Certifications:

Category:

Compliance