Associate, Asset Management Compliance
Job Description:
About AMC
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 guidance and creative solutions in a timely and responsive manner to support Asset Management ("AM") in delivering the best customer experience in the financial services industry.
The Team
The AM Compliance Program Office oversees various compliance program requirements, including mutual fund, institutional adviser, and NFA/CFTC compliance, and supports the fund chief compliance officers in preparing and facilitating reporting to fund boards.
This is a dynamic role that will support multiple programs under the AM Compliance Office as well as the broader team performing compliance oversight functions. As part of the team, this role will:
- Provide support toward the completion of deliverables across the team, including:
- Monthly reporting on key program components including policy review and risk assessment completion, issues and key risk measures
- Performing the business unit delegate role for institutional advisers through review of client interactions and related documentation
- Supporting the sub-adviser oversight item in the review and reporting of information provided by sub-advisers to the funds
- Establish relationships with teams and business units across Fidelity to solve problems and address relevant risks
- Work with members of the Team to develop and execute continuous improvement plans
The Expertise and Skills You Bring
- A desire to learn more about Fidelity's investment products and the various regulatory environments within which it operates
- A willingness to adapt to the dynamic needs of the Asset Management business unit
- A readiness to learn how to use technology to support data-driven decisions and to lead by example
- A sense of curiosity around exploring how we might improve our capabilities and support the latest industry developments
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.