Associate, Asset Management Compliance

Job Description:

The Role

• Establishing and maintaining compliance rules in the core compliance engine
• Supporting daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
• Reporting of beneficial ownership in an accurate and timely manner
• Determining impacts to filing requirements based on internal and external factors (e.g., investment strategies, corporate restructuring, regulatory changes)
• Identifying and resolving potential material non-public information and information barrier matters
• Communicating to and educating portfolio managers, traders and internal business partners regarding client, regulatory, prospectus, Board, and internal policies
• Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement
• Participating in and leading strategic initiatives within the team and in partnership with various business partners

The Expertise and Skills You Bring

• Bachelor's degree in a business discipline (finance, general business or economics) preferred
• Experience in the financial services industry, compliance and/or operations
• Asset management regulatory and policy 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 AMC Operations and Oversight team consists of four main functions: Product and Rules Management, Trade Monitoring, Oversight and Reporting and Information Barriers/Material Non-Public Information (“Control Room”).

This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working.

Company Overview

At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want!  We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences. For information about working at Fidelity, visit FidelityCareers.com.  Fidelity Investments is an equal opportunity employer.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process. Please email us at accommodations@fmr.com or call 800-835-5099, prompt 2, option 2 if you would like to request an accommodation.

Certifications:

Category:

Program/Project Management

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.