Job Description:

The Role

The Director of Regulatory Management will be responsible for overseeing several critical regulatory filings, regulatory compliance support, and ongoing review and analysis of increasingly complex regulatory requirements in support of Fidelity’s expanding business lines.

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.

The Regulatory Management team provides oversight and guidance to investment teams and business leaders as Fidelity grows its business and its regulatory remit expands. The team is responsible for developing and maintaining a robust compliance program that fits and evolves with the business and provides compliance support and oversight of various aspects of Fidelity’s registered investment advisers, registered and private funds, and investment advisory services. The team manages several adviser registrations and private fund filings, monitors and reviews all relevant regulatory proposals, and assists with certain critical new rule implementations.

Your responsibilities include:

• Regulatory review, analysis, advice, and support to all Asset Management business partners
• Serve as primary contact for all aspects of regulatory filing management and oversight, including eight registered investment adviser registrations;
• Identify and oversee ongoing regulatory risk for the Asset Management advisers and funds

The Expertise and Skills You Bring

• 7+ years of compliance, legal, and/or regulatory experience in investment management or 5+ years asset management experience with a law firm
• Analytical mindset; comfortable with review and analysis of new and complex rulemakings
• Solid understanding of asset management laws and regulation, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and general knowledge of industry practices relating to registered investment advisers
• Ability to understand complex issues and regulatory requirements and to provide clear and concise explanations in written and verbal communications, including to senior management
• Broad familiarity with regulatory filings, operational, distribution, and compliance matters preferred

The Value You Deliver

• Maintain best in class compliance program through continuous assessment of regulatory change, impact to Asset Management business, and process improvement opportunities
• Lead and support compliance team and business partners across exams, rule proposals, and rule implementations
• Strong analytical, organizational, and problem-solving skills to effectively oversee multiple complex regulatory filings with varying and overlapping timelines
• Present regulatory developments and considerations to senior leaders and business partners
• Support critical components of the Regulatory Management program, including operations, reporting, program and data management

The base salary range for this position is $100,000-$169,000 per year.

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.

We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.

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