What are the responsibilities and job description for the Senior Manager, Compliance Advisor position at Fidelity Investments?
Job Description
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 responsive manner to support Asset Management in delivering the best customer experience in the industry.
In support of the FMR and Strategic Advisers Sub-Adviser compliance programs, the AMC Sub-Adviser Oversight Team performs initial due diligence on prospective sub-adviser candidates and ongoing oversight of Board approved sub-advisers. We interact frequently with Fidelity control partners, including Legal, Treasurer’s Office, Risk, and Operations. Our key oversight activities include periodic certifications, onsite visits (some travel required), annual contract renewal and brokerage reporting, Steering Committee reporting and Chief Compliance Officer ('CCO')/Board reporting.
The Expertise And Skills You Bring
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.
Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.
Certifications
Category:
Compliance
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 responsive manner to support Asset Management in delivering the best customer experience in the industry.
In support of the FMR and Strategic Advisers Sub-Adviser compliance programs, the AMC Sub-Adviser Oversight Team performs initial due diligence on prospective sub-adviser candidates and ongoing oversight of Board approved sub-advisers. We interact frequently with Fidelity control partners, including Legal, Treasurer’s Office, Risk, and Operations. Our key oversight activities include periodic certifications, onsite visits (some travel required), annual contract renewal and brokerage reporting, Steering Committee reporting and Chief Compliance Officer ('CCO')/Board reporting.
The Expertise And Skills You Bring
- Bachelor’s degree
- 5-10 years of compliance, risk, and/or regulatory experience in the financial services industry
- Knowledge of the federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940
- Effective verbal and written communication skills
- Familiarity with Fidelity’s Asset Management business
- Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment
- Strong analytical and problem-solving skills
- Driven to evaluate opportunities for process improvements through technology and other creative solutions
- Coordinate the sub-adviser oversight program, including quarterly certifications and board reporting deliverables
- Perform sub-adviser oversight on behalf of the CCO, Boards of Trustees, and Fund shareholders
- Maintain best in class sub-adviser oversight program through continuous assessment of regulatory changes and process improvement opportunities
- Fostering strong partnerships with key business partners to support expansion of solutions-based products and fund offerings
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.
Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.
Certifications
Category:
Compliance
Salary : $85,000 - $171,000