Compliance Associate
Job Description:
The Role You will assist with activities to support the Equity, High Income and QRI investment divisions; AMC; and other business partners.
This includes review of new products, resolution and management of errors, preparation of asset class reporting, review of compliance policies and procedures, and development of compliance training for investment professionals.
You assist and maintain multiple project plans, documenting written procedures, processing incidents, and tracking various metrics.
You respond to inquiries from investment professionals regarding various compliance policies and guidelines.
You will help educate investment professionals on their compliance and regulatory obligations.
You will research compliance requirements for new products and processes.
This role will include a blend of at-home and in-office work in our Boston office.
Learn more about how Fidelity has embraced Dynamic Working.
The Expertise and Skills You Bring Bachelor's degree in a business discipline (finance, general business or economics) preferred Knowledge of or experience in the financial services industry, compliance and/or operations Strong 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 collectively across functions Able to identify key opportunities for improvements in process through technology solutions The TeamAsset 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 CCO for Asset Management's Equity, High Income, and Quantitative Research and Investments divisions leads a team that provides ongoing compliance and regulatory support to investment professionals and their respective senior investment management teams.
This team is responsible for developing, implementing, and monitoring various aspects of Asset Management's overall compliance program including, investment incident tracking and resolution and conflicts identification and mitigation.
This team is the first point of contact for investment professionals seeking advice on various compliance and regulatory policies, processes and related to their portfolios' state of compliance.
Investment compliance support spans across all product types.
Please see below for the salary range for work locations in Colorado only:
N/APlease see below for the salary range for work locations in New York City, Westchester County, NY and Jersey City, NJ only:
N/APlease see below for the salary range for work locations in California only:
N/APlease see below for the salary range for work locations in Washington only:
N/ACertifications:
Category:
Compliance Recommended Skills Analytical Asset Classes Asset Management Attention To Detail Communication Compliance Training Estimated Salary: $20 to $28 per hour based on qualifications.
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