Compliance Advisor

Job Description:

Compliance Advisor

The Role

• Support the operations of Fidelity’s Asset Management Compliance program with a focus on firmwide limit monitoring
• Perform real time and pre trade support, and resolve post trade incidents to ensure compliance with internal requirements and external regulations
• Monitor complex investment strategies and provide guidance on compliance issues
• Educate investment professionals on applicable compliance limits; and implement effective mechanisms to provide timely reporting
• Provide Asset Management Compliance leadership with information on current trends, issues, and recommendations

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
  

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 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.

Certifications:

Category:

Compliance

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.

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.