Senior Advisor, AMC-Regulatory and Operational Compliance

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Fidelity Investments
  • 17 Jan 18 2018-01-17

Senior Advisor, AMC-Regulatory and Operational Compliance

The Intake Team is responsible for establishing and maintaining client, regulatory, prospectus, Board-approved, and internal limitations within the Compliance rules-based system to facilitate monitoring and client reporting. This sets the foundation for preventing and detecting potential violations in a timely manner. The team interacts closely with Portfolio Monitoring, Product Management, Investment Operations, Account Executives and Legal teams during contract negotiations and other pre/post launch activities to understand the product/client objectives and to ensure rules are properly coded and assigned within the compliance applications. The responsibilities extend beyond FMR managed funds and include all Fidelity International Canada (FIC), SAI, FMTC and FIAM portfolios. To ensure Fidelity's reputation for excellence is maintained, the individual must apply high ethical values and quality assurance standards.

Primary Responsibilities

  • Demonstrate active leadership and subject matter expertise in the area(s) of portfolio compliance, compliance technology and compliance related initiatives
  • Subject Matter Expertise in contract analysis, rule interpretation and coding
  • Operational best practices ensuring proper control activities and framework are in place and followed
  • An active participant in department initiatives, including but not limited to the user acceptance testing of new compliance rules, new functionality and the identification of business requirements, and new regulatory requirements.

Education and Experience
  • Bachelor's Degree required; Master's degree preferred
  • 4 to 6 years of financial services experience

Skills and Knowledge
  • Compliance operations experience in a financial services organization
  • Strong communication skills (verbal and written) with demonstrable experience working across business units
  • Excellent technical skills using Microsoft suite of programs with emphasis on excel

Location: Merrimack, NH or Boston, MAFidelity Investments is one of the world's largest providers of financial services. Founded in 1946, the firm is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and many other financial products and services to more than 20 million individuals and institutions, as well as through 5,000 financial intermediary firms. For more information about Fidelity Investments, visit http://www.fidelity.com/ .

Fidelity Investments is an equal opportunity employer.