Senior Advisor, Asset Management Compliance

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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

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

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