Vice President of Compliance Governance overseeing compliance governance and risk management within financial services operations. Leading frameworks, reporting, and strategic partnerships with senior leadership.
FI
Hybrid Director, Asset Management Compliance – Initiatives Center of Excellence
Posted 2 months ago
About the role
- Director role in Asset Management Compliance at Fidelity, focusing on compliance initiatives and regulatory changes. Leading interdisciplinary efforts to ensure readiness and support innovative assets.
Responsibilities
- assess the impacts of new complex products, investment capabilities, and regulatory changes to the AMC operating model
- build and lead implementation plans that ensure readiness across all functional areas within AMC while representing AMC with product and regulatory facing business partners across Fidelity
- design, build, and maintain robust product and regulatory intake, implementation, and metrics reporting tools to drive and support collaboration, readiness, and transparency
- lead a variety of initiatives with a focus on emerging lines of business, such as digital assets and alternative products
- build and maintain strong working relationships with Fidelity senior management and initiative stakeholders, providing timely awareness of key risks, issues, and results across AMC and with key Asset Management leaders and business partners
Requirements
- Bachelor’s degree or equivalent
- At least ten years financial services experience with a preference for a background in compliance, legal, investment support and/or regulatory experience.
- Working experience in alternative investment strategies, including private credit, long/short equity and credit, arbitrage, etc.
- Working experience in non-traditional investment vehicles such as closed-end funds, REITs, private funds, etc.
- Strong understanding of asset management laws and regulations, including Investment Company Act of 1940, investment adviser businesses, and commodities rules as well as knowledge of industry practices and norms
- Experience and technical expertise with practices that pertain to the asset management industry, including investment processes, derivatives and other instrument types, disclosure practices, trading and allocation issues, fund treasury and accounting matters, transfer agent, distribution, and custodial practices.
- An understanding of global compliance programs, including compliance policies and procedures, control frameworks, and risk assessments, with an approach to evaluate and recommend improvements.
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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Senior Associate providing expert service in insurance compliance at ORIX USA. Managing a diverse portfolio while leading junior analysts and ensuring regulatory adherence.
Senior Manager in SAP GRC managing the integration of finance operations at Vodafone. Overseeing compliance and collaborating across teams for effective project management.
Senior Manager of Regulatory Affairs supporting regulatory activities for oncology clinical studies. Collaborating with cross - functional teams to ensure compliance and successful submissions to regulatory agencies.
Compliance Specialist supporting Allegro Group teams by providing compliance management advice. Leading implementation of legal acts and supporting compliance - related training and documentation in Poland.
Director overseeing international regulatory affairs for Capital One, coordinating regulatory activities globally and establishing governance structures. Influencing business strategies and maintaining relationships with international regulators.
Compliance Complaints Advisory Specialist researching and analyzing regulatory guidance on high - risk customer complaints. Collaborating with operations and legal teams to ensure compliance and customer satisfaction.
Overseeing compliance inspections for an investment management company. Supporting the development and maintenance of compliance processes and providing guidance on regulatory implications.
Corporate Compliance Analyst joining Vantage Data Centers to support a global compliance program with a focus on third party due diligence and risk management methodologies.
Compliance Assistant managing sales data delivery to contracted vendors. Conducting data quality checks and maintaining vendor relationships at Hudson.