Senior Advisor, Portfolio Compliance Monitoring—Equity

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Job description

Job Description:

Senior Compliance Advisor

The Role

• Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and alternative funds and accounts to ensure that their investment policy limitations are followed
• Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
• Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
• Monitoring complex investment strategies
• 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

This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working .

The Expertise and Skills You Bring

• Bachelor's degree in a business discipline (finance, general business or economics) preferred
• Comfortable with pre-trade compliance and/or order-management technology
• Experience in financial services industry
• Deep experience in the industry, preferably in the area of investment compliance, investment support, or investment operations
• 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 (“AMC”) 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 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. This team is the first point of contact for investment professionals seeking advice related to their portfolios state of compliance. Investment compliance support spans across all product types.

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 experiences. For information about working at Fidelity, visit Fidelity Investments is an equal opportunity employer.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process. Please email us at or call , prompt 2, option 2 if you would like to request an accommodation.

Certifications:

Company Overview

Fidelity 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 Us

At 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 Glassdoor Employees Choice Award , we have been recognized by our employees as a top 10 Best Place to Work in 2024. 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.

Fidelity s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office.

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, detailed in this document , 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.

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 .

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