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Job Details

Senior Vice President Asset Management Compliance

Location
Boston, MA, United States

Posted on
Jan 05,2019

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Senior Vice President, Asset Management Compliance','1900090','!*!
The Team
 
Within Asset Management Compliance (AMC), the leader of the Compliance Program Management, Regulatory and Product Alignment team is responsible for:  


supporting Fidelity’s Chief Compliance Officers (CCOs) in administering Fidelity’s fund and adviser compliance program under Rules 38a-1 and 206(4)-7;

responding to regulatory inquiries, tracking and influencing regulatory proposals, and making investment adviser regulatory filings; and

coordinating compliance resources to help Fidelity get new products to customers quickly. 
The Senior Vice President will be expected to provide compliance expertise and leadership in setting the direction for the team, and interacting with senior members of risk, compliance and other oversight functions across Fidelity, including the fund and adviser CCOs.  
 
This position is also responsible for driving the continuous improvement of the compliance programs, while responding to all relevant legal, regulatory and legislative inquiries and changes in a rapidly changing and competitive environment.  Our group is passionate about modernizing compliance through the use of data analytics, process automation, and enhancements to our digital experience.  The ideal candidate will share that passion, by leveraging technology to find innovative solutions to help modernize compliance across the firm, a key priority for the function.
 
The Expertise You Have  


Bachelor’s degree and typically 15 years in financial services industry, with compliance, legal, risk, and/or audit experience 

Advanced business degree and/or JD a plus

Compliance expertise in Rules 38a-1 and 206(4)-7 (and associated Federal Securities Laws) 

Successful track record of team leadership and talent development
The Skills You Bring  


Capability to understand complex issues and regulatory requirements and to provide clear and concise explanations in written and verbal communications

Strong analytical and problem-solving abilities as well as effective and efficient decision-maker

Proven relationship building skills, ideally in large company context

Proven track record of attracting, developing and motivating high performing teams

High degree of integrity and superior work ethic, commitment to Fidelity’s values, and high quality assurance standards

Working knowledge of data analytics and how to leverage technology to increase effectiveness of compliance program and management routines and strong process orientation 
The Value You Deliver  


Own accountability for the design, implementation and continual enhancement of the compliance program, in close coordination with the mutual fund Chief Compliance Officers

Foster strong partnerships with some 20 Business Unit Compliance Officers across Fidelity whose teams execute required compliance program components

Oversee multi-location Regulatory Management team responsible for regulatory change management, regulatory inquiry/exam response, and investment adviser regulatory filings.

Develop relationships with product development teams across Fidelity and marshal Asset Management Compliance resources to resolve issues and get to market quickly','!*!
Company Overview
 
At Fidelity, we are focused on 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 associate for their unique perspectives and experiences. For information about working at Fidelity, visit FidelityCareers.com.
 
Fidelity Investments is an equal opportunity employer.','Compliance','US-MA-Boston','','Full-time','Executive','Bachelor's Degree (±16 years)','Standard','Exempt','Exempt','No','Senior Vice President, Asset Management Compliance

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