Posted 13 days ago
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**Director, Asset Management Compliance**: Lead cross-asset compliance monitoring team, set strategic direction, drive process improvements, and ensure adherence to client, regulatory, and internal policies. Manage team, foster talent growth, and communicate complex policies effectively. Requires 10+ years in financial services, deep investment compliance experience, strong leadership, and exceptional communication skills.
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Currency: Not specified
Full Job Description
Job Description:
The Role
Managing and overseeing a team of individuals responsible for pre-trade and post trade compliance monitoring which spans across all product types
Providing strategic direction to meet both the teams and organizations goals
Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
Providing AMC senior management with information on current trends and issues recognized during assignments and providing solutions
Solving business problems with a focus on process improvements and automation
Leading business initiatives and projects
The Expertise and Skills You Bring
Bachelors degree and typically 10+ years in the financial services industry, compliance, legal, risk, and/or audit experience
Broad and deep experience in the area of investment compliance, investment support, or investment operations
Strong leadership and talent development skills
Exceptional relationship management, communication and influencing skills
Independent thinker; accountable for and skilled in exercising sound judgment
High degree of integrity and strong work ethic; orientation toward results; positive attitude
Strong analytical, organizational, and problem solving skills
Detail oriented with a focus on potential anomalies in trading and investment management behaviors
Ability to explain complex regulatory and policy requirements to all levels of the organization
Note: Fidelity will not provide immigration sponsorship for this position.
The Team
Asset Management Compliance ('AMC') works closely with Fidelitys 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 Investment Compliance Monitoring Team, within AMC, is responsible for proactively reducing the risk of trade error and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations for specific equity, fixed income and alternative funds and accounts. This team is the first point of contact for investment professionals seeking advice related to their portfolios state of compliance.
Certifications:
Category:
ComplianceMost 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. Some roles may have unique onsite requirements. Please consult with your recruiter for the specific expectations for this position.
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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