Senior Advisor, Asset Management Compliance

Senior Advisor, Asset Management Compliance Fidelity Investments - 4.0 Smithfield, RI Job Details $85,000 - $171,000 a year 1 day ago Benefits Loan repayment program Tuition reimbursement Paid time off Parental leave Qualifications Financial services Stakeholder relationship building

Full Job Description Job Description:

The Role As a Senior Advisor in the AMC Initiatives Management Center of Excellence you will assess the impacts of new products, investment capabilities, and regulatory changes to the AMC operating model. You will build, lead, and support implementation plans that ensure readiness across all functional areas within AMC while representing AMC with product and regulatory facing business partners across Fidelity. The Center of Excellence Senior Advisor will design, build, and maintain robust product and regulatory intake, implementation, and metrics reporting tools to drive and support collaboration, readiness, and transparency. In this role, you will lead or support a variety of initiatives with a focus on emerging lines of business, such as digital assets and alternative products. You will build and maintain strong working relationships with Fidelity senior management and initiative stakeholders, providing timely awareness of key risks, issues, and results across AMC and with key Asset Management leaders and business partners. The Expertise and skills you bring Bachelors or equivalent with 8+ years of experience (or Masters with 6+ years) of financial services experience with a background in compliance, legal and/or regulatory experience. Working knowledge of investment product and instrument fluency (structures, lifecycle, and risks) and how those map to compliance obligations, including coverage of alternatives (e.g., private funds, private credit, derivatives) and/or digital assets. An understanding of asset management laws and regulations, including Investment Company Act of 1940, investment adviser businesses, and commodities rules as well as knowledge of industry practices and norms. 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 global compliance programs, including compliance policies and procedures, control frameworks, and risk assessments, with an approach to evaluate and recommend improvements. Outstanding organizational skills, including working on project teams while also contributing individual work. Strong communication, presentation, and relationship management skills Ability to connect with senior leaders and decision makers and influence desired outcomes Excellent interpersonal skills and the ability to work collaboratively across functions. Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail Experience leading effective meetings to create positive outcomes Appropriately gauges outcomes to take calculated risks in decision-making Ability to swiftly comprehend complex topics Knows how to effectively break down a large challenge and organize it into actionable steps Comfortability representing a point-of-view on behalf of a broader organization despite not being an expert 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 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. This team focuses on internal and external change management across all of AMC's businesses and functions related to regulations, new products/instruments, and strategic initiatives. The base salary range for this position is $85,000-171,000 USD 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.

Certifications:

Category:

Compliance