Compliance Advisor/Senior Compliance Advisor

Company: Fidelity Investments
Location: Boston
Posted on: September 19, 2023

Job Description:

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 (\u201CAMC\u201D) 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 (\u201CControl Room\u201D).
    This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced .
    Certifications:Company OverviewFidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money.Join UsAt Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a , we have been recognized by our employees as a Best Place to Work in 2022. And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.Many of our associates are continuing to work remotely temporarily due to COVID-19. When Fidelity employees eventually return to the office, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling \u0022.\u0022We invite you to Find Your Fidelity at .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.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 Leave of Absence/Accommodation Team by sending an email to -, or by calling 800-835-5099, prompt 2, option 3.

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