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Asset Management Compliance - Future Opportunities

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

Job Description:

Job Description:The TeamAsset 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 .
*Applying to this general posting will allow the hiring team to consider your candidacy across current and future openings at multiple levels within Asset Management Compliance Operations*
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 partnersThe Expertise and Skills You Bring
    • Bachelor's degree
    • 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 to senior investment professionals
    • Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
    • Valued teammate with good interpersonal skills who works collaboratively across functions
    • Able to identify key opportunities for improvements in process through technology solutions*Please note, this is an opportunity to indicate interest in future career opportunities not an application for a specific position. We will be hiring across various job categories, levels and locations*Please see below for the salary range for work locations in Colorado only:N/A

      Please see below for the salary range for work locations in New York City, Westchester County, NY and Jersey City, NJ only:N/A

      Please see below for the salary range for work locations in California only:N/A

      Please see below for the salary range for work locations in Washington only:N/A

      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 2023. 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.At Fidelity, 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 \u201C\u201D. Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, 5 consecutive days, every four weeks. These requirements are subject to change.We 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 Accommodation Team by sending an email to--, or by calling 800-835-5099, prompt 2, option 3.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.

Keywords: Fidelity Investments, Boston , Asset Management Compliance - Future Opportunities, Executive , Boston, Massachusetts

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