Key contributor in Integrated Resource Planning at Duke Energy. Prepare executives for regulatory testimonies on future energy demands and regulatory compliance.
SF
Hybrid Associate, Asset Management Compliance
Posted 5 hours ago
About the role
- Compliance Associate supporting Fidelity's Asset Management Compliance operations through various responsibilities in financial services. Engaging in problem-solving and maintaining organizational compliance while collaborating with multiple departments.
Responsibilities
- Supporting the operations of the material non-public information program by responding timely to requests regarding the establishment of fund and personal trade restrictions as well as reviewing exception alerts and responding/resolving as needed
- Compiling information/data for internal reporting and regulatory responses
- Responding to internal client inquiries regarding routine basic matters and escalate as appropriate
- Active monitoring in support of compliance with information barriers
- Supporting the eCommunications program regarding policy reviews and escalated items
- Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement.
Requirements
- Bachelor's degree with 1-2 years’ experience in a financial services environment preferred
- A teammate with good interpersonal skills and the ability to work collaboratively across departments
- Strong organizational skills with a proven track record to multi-task with an attention to detail
- Sound decision-making ability and risk management skills
- Strong problem solving and analytical skills and the ability to be flexible in a fast-paced, changing environment
- Skills to communicate effectively, influence and solve problems with a variety of business partners
- Able to identify key opportunities for improvements in process through technology solutions.
Benefits
- Health insurance
- Retirement plans
- Paid time off
- Flexible work arrangements
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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