ProvidenceRecruiter Since 2001
the smart solution for Providence jobs

Advisor, Asset Management Compliance

Company: Fidelity Investments
Location: Smithfield
Posted on: September 23, 2022

Job Description:

Job Description:The RoleAs a key contributor to the Institutional Compliance Asset Class team within Asset Management Compliance ("AMC") the person assuming this role is responsible for key compliance activities that support the ongoing evaluation and maintenance of Fidelity's Institutional compliance programs. This includes engaging with professionals across AMC and with business partners that support investment, operational, compliance, and client service activities to help assess the effectiveness of policies and procedures, resolve incidents and issues, as well as support client communication needs.You assist the Institutional Asset Class team, Global Asset Allocation division and Global Institutional Services groups within the FAMS organization with various activities to evaluate the compliance environment and support AMC and business partners. Examples include evaluating compliance considerations of new products, preparation of asset class reporting, and development/review of compliance policies and procedures.Actively participate in the development of materials for governance committees and related working groups.Support the resolution of investment and compliance related errors in accordance with the Error Policy. Help innovate ways to continuously improve the error resolution process, which includes the recordkeeping, communication, and methods to finalize errors.Support the completion of compliance related board reporting and related communication requests for clients. Build expertise in complex compliance topics to resolve inquiries and work with client service teams for positive client outcomes.Support the Proposal Services Team and Institutional Client Services by responding to inquiries related to due diligence questionnaires, new business inquiries, annual questionnaires, and ad-hoc requests. Work with AMC colleagues to customize responses for client facing documents.This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embracedDynamic Working.The Expertise and Skills You BringBachelor's degree3+ years of experience in a financial services environment, preferably in the areas of fund operations, compliance, operational risk management, or auditA willingness to learn. This role provides an opportunity to be part of a team that supports an Institutional compliance program that help oversee multiple asset classes and a diverse set of products.Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detailGood interpersonal skills and ability to effectively collaborate across functionsAbility to identify key opportunities for improvements in process through technology solution!Excellent communication skills and capable of presenting complex issues to varying levels of management when neededThe TeamAMC 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.Fidelity's Institutional Compliance Asset Class team focuses on maintaining relationships with business partners, advising on policy matters, and coordinating key compliance activities relevant to the asset class. The Compliance Advisor works directly with the Asset Class Lead supporting Fidelity Asset Management Solutions and Fidelity Management Trust Company.At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want! We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences. For information about working at Fidelity, visit Fidelity Investments is an equal opportunity employer.Certifications:Company OverviewFidelity Investments is a privately held company with a missionto strengthen the financial well-being of our clients.We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money.Join UsAt Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with aGlassdoor Employees' Choice Award, we have been recognized by our employees as a Best Place to Work in 2022. And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.Many of our associates are continuing to work remotely temporarily due to COVID-19. When Fidelity employees eventually return to the office, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling "Dynamic Working."We invite you toFind Your Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Leave of Absence/Accommodation Team by sending an email toaccommodations, or by calling 800-835-5099, prompt 2, option 3.PDN-971c52dd-ae51-4640-865c-ccb5d06bee22

Keywords: Fidelity Investments, Providence , Advisor, Asset Management Compliance, Executive , Smithfield, Rhode Island

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category

Log In or Create An Account

Get the latest Rhode Island jobs by following @recnetRI on Twitter!

Providence RSS job feeds