Fidelity Investments
Senior Advisor, Asset Management Compliance
Fidelity Investments, Boston, Massachusetts, us, 02298
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Senior Advisor, Asset Management Compliance
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Fidelity Investments . Overview
Senior Advisor, Asset Management Compliance - supporting Fidelity's compliance program operations through monitoring of trade activities to ensure investment policy limitations are followed. Responsibilities
Support the operations of Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income, and alternative funds and accounts to ensure investment policy limitations are followed. Communicate client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders. Educate portfolio managers and traders on applicable fund/account guidelines and trading policies; implement effective mechanisms to provide timely reporting. Monitor complex investment strategies and provide AMC management with information on current trends and issues recognized during assignments, recommending plans for improvement. Participate in and lead strategic initiatives within the team and in partnership with various business partners. Qualifications
Bachelor's degree in a business discipline (finance, general business, or economics) preferred. Comfortable with pre-trade compliance and/or order-management technology. Experience in financial services industry. Deep experience in the industry, preferably in investment compliance, investment support, or investment operations. Excellent communication skills, with ability to present on investment compliance topics to senior investment professionals. Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail. Collaborative teammate with good interpersonal skills and the ability to work across functions. Able to identify key opportunities for process improvements through technology solutions. 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, supporting a trusted customer experience. The Investment Compliance Monitoring Team within AMC reduces risk of trade errors and portfolio compliance violations through real-time and post-trade monitoring. The team is the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance. Certifications
Category: Compliance Additional Information
Fidelity’s hybrid working model blends onsite and offsite work experiences. Most hybrid roles require onsite work every other week (all business days, M-F) in a Fidelity office. 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 many self-regulatory organizations, including FINRA. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain criminal histories. Employment details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales
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Senior Advisor, Asset Management Compliance
role at
Fidelity Investments . Overview
Senior Advisor, Asset Management Compliance - supporting Fidelity's compliance program operations through monitoring of trade activities to ensure investment policy limitations are followed. Responsibilities
Support the operations of Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income, and alternative funds and accounts to ensure investment policy limitations are followed. Communicate client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders. Educate portfolio managers and traders on applicable fund/account guidelines and trading policies; implement effective mechanisms to provide timely reporting. Monitor complex investment strategies and provide AMC management with information on current trends and issues recognized during assignments, recommending plans for improvement. Participate in and lead strategic initiatives within the team and in partnership with various business partners. Qualifications
Bachelor's degree in a business discipline (finance, general business, or economics) preferred. Comfortable with pre-trade compliance and/or order-management technology. Experience in financial services industry. Deep experience in the industry, preferably in investment compliance, investment support, or investment operations. Excellent communication skills, with ability to present on investment compliance topics to senior investment professionals. Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail. Collaborative teammate with good interpersonal skills and the ability to work across functions. Able to identify key opportunities for process improvements through technology solutions. 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, supporting a trusted customer experience. The Investment Compliance Monitoring Team within AMC reduces risk of trade errors and portfolio compliance violations through real-time and post-trade monitoring. The team is the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance. Certifications
Category: Compliance Additional Information
Fidelity’s hybrid working model blends onsite and offsite work experiences. Most hybrid roles require onsite work every other week (all business days, M-F) in a Fidelity office. 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 many self-regulatory organizations, including FINRA. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain criminal histories. Employment details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Finance and Sales
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