Fidelity Investments
Senior Advisor of Regulatory Management
Fidelity Investments, Boston, MA
Job Description:
The Role
The Senior Advisor of Regulatory Management will be responsible for supporting several critical regulatory filings, providing regulatory compliance support, and ongoing review, analysis, and tracking of increasingly complex regulatory requirements in support of Fidelity's expanding business lines.
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.
The Regulatory Management team provides oversight and guidance to investment teams and business leaders as Fidelity grows its business and its regulatory remit expands. The team is responsible for developing and maintaining a robust compliance program that fits and evolves with the business and provides compliance support and oversight of various aspects of Fidelity's registered investment advisers, registered and private funds, and investment advisory services. The team manages several adviser registrations and private fund filings, monitors and reviews all relevant regulatory proposals, and assists with certain critical new rule implementations.
Your responsibilities include:
The Expertise and Skills You Bring
The Value You Deliver
The base salary range for this position is $81,000-$137,000 per year.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Certifications:
Category:
Compliance
The Role
The Senior Advisor of Regulatory Management will be responsible for supporting several critical regulatory filings, providing regulatory compliance support, and ongoing review, analysis, and tracking of increasingly complex regulatory requirements in support of Fidelity's expanding business lines.
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.
The Regulatory Management team provides oversight and guidance to investment teams and business leaders as Fidelity grows its business and its regulatory remit expands. The team is responsible for developing and maintaining a robust compliance program that fits and evolves with the business and provides compliance support and oversight of various aspects of Fidelity's registered investment advisers, registered and private funds, and investment advisory services. The team manages several adviser registrations and private fund filings, monitors and reviews all relevant regulatory proposals, and assists with certain critical new rule implementations.
Your responsibilities include:
- Regulatory review and analysis for all Asset Management businesses
- Support key regulatory filings such as Form ADV and PF for eight registered investment advisers
- Track and research regulatory proposals and rules and support implementation initiatives for the Asset Management advisers and funds
The Expertise and Skills You Bring
- JD strongly preferred; 5+ years of compliance, legal, and/or regulatory experience in investment management or 2+ years asset management experience with a law firm
- Analytical mindset; comfortable with review and analysis of new and complex rulemakings
- General understanding of asset management laws and regulation, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and general knowledge of industry practices relating to registered investment advisers
- Ability to understand complex issues and regulatory requirements and to provide clear and concise explanations in written and verbal communications, including to senior management
- Broad familiarity with regulatory filings, operational, distribution, and compliance matters preferred
The Value You Deliver
- Maintain best in class compliance program through continuous assessment of regulatory change, impact to Asset Management business, and process improvement opportunities
- Support compliance team and business partners across exams, rule proposals, and rule implementations
- Strong writing, analytical, and organizational skills to support multiple components of the Regulatory Management program
- Present regulatory developments and considerations to senior leaders and business partners
- Support components of the Regulatory Management program, including filings, operations, reporting, program and data management
The base salary range for this position is $81,000-$137,000 per year.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Certifications:
Category:
Compliance