Director, Asset Management Compliance

Job Description:

Director, Asset Management Compliance

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 Director, Asset Management Compliance Oversight and Reporting, will play a key role in supporting the compliance program for multiple advisers related to CFTC/NFA regulations as registered Commodity Trading Advisers and Commodity Pool Operators.  You will facilitate meetings with teams across Asset Management to ensure the appropriate regulatory oversight and reporting is in place.  This role will also support regulatory filings, such as Form ADV for these advisers.

The Role

• Lead CFTC/NFA Compliance function strategically across compliance policies and procedures, oversight, regulatory filings, regulator inquiries and rule proposals
• Ensure communication for CFTC/NFA compliance activities are provided to relevant stakeholders
• Delivery timely and accurate reporting to regulators on behalf of Fidelity Diversifying Solutions (FDS) and Strategic Advisers (SAI)
• Partner with team members to ensure consistent delivery of regulatory filings for all Asset Management Investment Advisers

The Expertise and Skills You Bring

• Bachelor’s degree and 10+ years’ experience in the financial services industry
• Strong asset management experience, including reporting to, and communicating with, regulators
• Broad familiarity with Fidelity’s Asset Management business and fund service providers across the firm
• Experience supporting Investment Managers with diverse product offerings, including derivatives usage and alternative investment strategies
• Ability to make improvements in process through technology solutions
• Willing collaborator that can work independently and in a team environment

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.