What are the responsibilities and job description for the Analyst, Asset Management Compliance position at Fidelity Investments?
Job Description
Analyst, Asset Management Compliance
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.
The Oversight and Reporting Team within AMC is responsible for ensuring policies, controls, guidance and training are in place throughout the investment process. This position is responsible for facilitating the continuous improvement of Asset Management Compliance’s risk management program, while responding to risk events and identifying emerging risks requiring attention in a rapidly changing environment driven by service, market, regulatory, process and product changes.
Additionally, the team is focused on the analysis, documentation and resolution for risk events that are deemed to be investment process, trading, or compliance errors.
The Role
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.
Analyst, Asset Management Compliance
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.
The Oversight and Reporting Team within AMC is responsible for ensuring policies, controls, guidance and training are in place throughout the investment process. This position is responsible for facilitating the continuous improvement of Asset Management Compliance’s risk management program, while responding to risk events and identifying emerging risks requiring attention in a rapidly changing environment driven by service, market, regulatory, process and product changes.
Additionally, the team is focused on the analysis, documentation and resolution for risk events that are deemed to be investment process, trading, or compliance errors.
The Role
- Ensure compliance with policies and procedures related to trading, including allocation of trades and trading with affiliated entities
- Resolve system generated exceptions and escalate appropriately
- Document control breakdowns in the investment process and ensure appropriate measures are taken to remediate risks
- Provide training and guidance to compliance teams and investment professionals
- Bachelor’s degree
- 3-5 years’ experience in financial services industry
- Familiarity with Asset Management and Fidelity’s affiliated investment advisors
- Proven knowledge of financial services industry, preferably in investment compliance, trade operations, or investment services
- Ability to drive process improvements through technology solutions
- Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
- Team player with good interpersonal skills and the ability to work collaboratively across functions
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.
