ITGC Compliance Manager at BAT overseeing compliance with IT General controls within the Digital Business Solutions. Supporting management to improve compliance measures and coordinate with stakeholders.
SF
Hybrid Director, Asset Management Compliance Programs – Sub-Adviser Oversight
Posted last month
About the role
- Director overseeing compliance programs and sub-adviser oversight in asset management for Fidelity Investments. Focus on regulatory compliance and driving process improvements.
Responsibilities
- supporting the build out of new compliance programs
- overseeing various program requirements, including mutual fund, institutional adviser, and NFA/CFTC compliance
- performing ongoing oversight of Board approved sub-advisers
- interacting with compliance leaders within Asset Management and across the firm to ensure program requirements are carried out appropriately
- managing day-to-day deliverables of the fund and adviser compliance programs
- evaluating the impact of regulatory and business changes and implementing program enhancements
Requirements
- Bachelor’s degree or equivalent
- Strong compliance, risk, and/or regulatory experience in the financial services industry
- Typically, 10+ years industry-related experience
- Strong understanding of asset management laws and regulations, including investment company, investment adviser businesses, and commodities rules as well as knowledge of industry practices relating to alternative investments or digital assets
- Broad familiarity with Fidelity’s Asset Management business and fund service providers across the firm
- Ability to understand complex issues and compliance requirements and to provide clear and concise explanations in written and verbal communications, including to senior members of Fidelity
- Proven time and project management skills
- Outstanding organizational skills and people and program management while also contributing a high volume of individual work
- Driven to evaluate opportunities for process improvements through technology and other creative solutions
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
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