Director, Asset Management Compliance

Job Description:

Director, Asset Management Compliance (Control Room)

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 passionate about delivering sound guidance and creative solutions in a timely and adaptable manner to support Asset Management in delivering the best customer experience in the financial services industry.

The Control Room team, within AMC operations, is responsible for the day to day support of the Information Barriers, Material Non-Public Information, and eCommunications programs as well as acting as the custodian for several access points. The Director is expected to lead, consult, and influence resolutions on problems and issues related to the aforementioned programs and to recommend and implement solution strategies. This role requires a working knowledge of investment adviser and investment company compliance and the rules and risks under which they operate. Day-to-day interaction across all asset classes within Asset Management as well as other groups is needed to ensure that program requirements are understood, and issues are resolved in an appropriate and timely manner. The Director will oversee and preform recurring operational tasks and support the resolution of critical and time sensitive escalations which may, on occasion, occur outside of US market hours.

The Role

• Shared responsibility of the Material Non-Public Information hotline.
• Oversight and maintenance of the disaggregation Information Barrier program, including policy & procedure updates, annual training development, internal/external audit support,and other administrative responsibilities.
• Direct involvement and support of daily operational work across the team, including access entitlements and navigation of Asset Management systems and applications.
• Resolution and documentation of escalated matters, including discussion with Legal and other business units.
• Evaluation and application of regulatory requirements to inquiries received.
• Ownership of ongoing initiatives and projects.

The Expertise and Skills You Bring

• Bachelor’s degree and 10+ years in the financial services industry, compliance, legal, and/or risk experience.
• Motivated self-starter who can work independently.
• Ability to multi-task, prioritize and handle significant workload successfully.
• Exceptional relationship management, communication and influencing skills.
• Strong analytical, organizational, and problem-solving skills.
• Detail oriented with ability to interpret complex matters and provide recommended solutions.
• Excellent verbal and written communication skills along with confident presentation skills.

Certifications:

Category:

Compliance

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 every other week (all business days, M-F) in a Fidelity office.