Job Description:
The Role
Senior Advisor, 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.
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The Role
As a Senior Advisor supporting AMC Operations strategic initiatives, you will work with Asset Management Technology to provide guidance, testing and implementation support of the Investment Compliance Engine's pipeline. You will provide support for ICE's production related issues and represent the business as a stakeholder in these matters across business partners. The role will additionally push AMC's key initiatives forward. This entails integration support into ICE of new products, securities and regulations, such as new alternative products, derivatives usage, CLOs, etc. The role requires reactionary changes to our data and rule coding environment to keep our Compliance Engine best-in-class. You will partner with the broader AMC Monitoring & PRM groups to provide subject matter expertise (SME) on fund setup, rule coding and guideline monitoring. This presents opportunity to make the day-to-day responsibilities of the teams' more efficient and automated.
The role will have strong working relationships with business partners, Asset Management Technology and Fidelity Senior Management to drive AMC Ops strategic initiatives forward. You will be a relied upon member of Asset Management to foster a best-in-class Compliance Engine that minimizes risk for the firm.
The Expertise You Have
- Bachelor's degree or equivalent
- At least 5-10 years financial services experience with a preference for a background in Investment Compliance, Investment Operations, Data Management, Legal and/or regulatory experience.
- Proven knowledge of the financial services industry, preferably in the areas of rule coding and guideline monitoring.
- Strong understanding of the data needed to support a Compliance Engine. How it fits together with the rules coded and monitored.
- Deep understanding of asset management laws and regulations, including investment company, investment adviser businesses, and commodities rules as well as knowledge of industry practices relating to all asset classes, such as, Equity, Fixed Income, Asset Allocation, Alternatives and Digital Assets.
- Experience and technical expertise with practices that pertain to the asset management industry, including the investment process.
- A proven understanding of derivatives and complex securities as it relates to the investment process and Asset Management Compliance.
- An understanding of compliance programs, including compliance policies and procedures, control frameworks, and risk assessments, with an approach to evaluate opportunities for improvements.
- SQL experience is a plus.
The Skills Your Bring
- Ability to understand and problem solve complex issues as it relates to our Compliance environment.
- A strong technical skillset that understands the technology and its impact on AMC Operations day-to-day.
- Excellent interpersonal skills and the ability to work collaboratively across functions.
- Outstanding organizational skills, including driving project work from start to finish.
- Ability to drive operational improvements through technology solutions.
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.