Posted 13 days ago
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**Director, Transfer Agent Oversight** Lead Fidelity's Transfer Agent Oversight in Asset Management's Treasurers Office. Oversee, monitor, and enhance operational and regulatory compliance. Collaborate with senior management to modify or set Fund policies. Liaise with cross-functional teams for new product support. Requires 9+ years of industry experience, with 4+ years in mutual fund operations or transfer agent roles. Demonstrate exceptional communication, analytical, and organizational skills.
- Compensation
- $110,000 – $222,000 USD
- City
- Not specified
- Country
- Not specified
Currency: $ (USD)
Full Job Description
Job Description:
The Role
As a Director of Transfer Agent Oversight in Asset Managements Treasurers Office, you will be responsible for supporting the oversight program related to the Fidelity Funds Transfer Agent functions. This role will interact directly with Fidelitys Transfer Agents (internal and external) to evaluate their operations and system capabilities to ensure compliance with Fund policies, and will monitor, develop, and implement processes for monitoring operational and regulatory compliance. As a specialist on Fidelitys Fund policies, you will work with senior levels of management to either modify current Fund policies or set new policies and will make recommendations on complex, technical operational issues. You will engage with various groups within Fidelity on new products and product changes to ensure appropriate policies, controls and disclosures are in place. Finally, the Director may participate in other departmental initiatives as determined by the Vice President Transfer Agent Oversight.
The Expertise and Skills You Bring:
- A minimum of 9 years industry or equivalent experience
- 4 plus years mutual fund operations or transfer agent related experience
- A Bachelors degree or equivalent
- Knowledge of Transfer Agent risk and/or compliance a plus
- Knowledge of Proxy, Alternatives Administration/Oversight and Digital Asset Ops is a plus
- Ability to influence business partners and build strong relationships with Senior Leaders
- Excellent verbal, written and formal presentations communication skills
- Possess strong research and analytical skills
- Ability to apply sound judgment to spot issues, assess risks, and identify items requiring escalation
- Possess excellent organizational skills
- Ability to make and effectively communicate decisions
- Unwavering dedication to accuracy, quality, and completion of tasks
The Team
The Asset Management Treasurers Office provides fiduciary oversight of Fidelitys funds, shareholder activity, and service providers. We use industry knowledge, technical experience, and our responsibility as fiduciaries to set and monitor adherence to fund policies, and we support the Funds Boards of Trustees in fulfilling their responsibilities to the Fidelity Mutual Funds. In addition to overseeing Fidelitys existing products, we also actively support Asset Managements efforts to expand investment capabilities by ensuring appropriate oversight is in place for new products prior to implementation.
The base salary range for this position is $110,000-$222,000 per year.Placement in the range will vary based on job responsibilities and scope, geographic location, candidates 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 Fidelitys 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.
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Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
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 experience.
Reasonable accommodations
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation contact the HR Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop, and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Applicant screening
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
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