Senior Manager, Compliance Advisor
skillventory - A Leading Talent Research Firm
full-time
Posted on:
Location Type: Hybrid
Location: Jersey City • New Hampshire, New Jersey, Rhode Island, Texas • 🇺🇸 United States
Visit company websiteSalary
💰 $85,000 - $171,000 per year
Job Level
Senior
About the role
- Coordinate the sub-adviser oversight program, including quarterly certifications and board reporting deliverables
- Perform sub-adviser oversight on behalf of the CCO, Boards of Trustees, and Fund shareholders
- Maintain best in class sub-adviser oversight program through continuous assessment of regulatory changes and process improvement opportunities
- Fostering strong partnerships with key business partners to support expansion of solutions-based products and fund offerings
Requirements
- Bachelor’s degree
- 5-10 years of compliance, risk, and/or regulatory experience in the financial services industry
- Knowledge of the federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940
- Effective verbal and written communication skills
- Familiarity with Fidelity’s Asset Management business
- Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment
- Strong analytical and problem-solving skills
- Driven to evaluate opportunities for process improvements through technology and other creative solutions
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliancerisk managementregulatory experiencefederal securities lawsInvestment Advisers Act of 1940Investment Company Act of 1940process improvementanalytical skillsproblem-solving
Soft skills
effective communicationorganizational skillsattention to detailability to work in fast-paced environmentpartnership building
Certifications
Bachelor's degree