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
• Participating in and leading strategic initiatives within the team and in partnership with various business partners

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
• 5-10 years’ experience in the 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.

Certifications: