Compliance Associate

Job Description:

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

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
• Knowledge of or experience in the financial services industry, compliance and/or operations
• Strong 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 collectively 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 FidelityCareers.com.  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 accommodations@fmr.com or call 800-835-5099, prompt 2, option 2 if you would like to request an accommodation.

Certifications:

Category:

Compliance

Fidelity’s working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).