Compliance

• The AM Compliance Program Office oversees various compliance program requirements, including mutual fund, institutional adviser, and NFA/CFTC compliance, and supports the fund chief compliance officers in preparing and facilitating reporting to fund boards
• This dynamic role will support multiple programs under the AM Compliance Office as well as the broader team performing compliance oversight functions
• As part of the team, this role will: Provide support toward the completion of deliverables across the team, including: Monthly reporting on key program components including policy review and risk assessment completion, issues and key risk measures
• Performing the business unit delegate role for institutional advisers through review of client interactions and related documentation
• Supporting the sub-adviser oversight item in the review and reporting of information provided by sub-advisers to the funds
• Establish relationships with teams and business units across Fidelity to solve problems and address relevant risks
• Work with members of the Team to develop and execute continuous improvement plans
• The Expertise and Skills You Bring
• A desire to learn more about Fidelity's investment products and the various regulatory environments within which it operates
• A willingness to adapt to the dynamic needs of the Asset Management business unit
• A readiness to learn how to use technology to support data-driven decisions and to lead by example
• A sense of curiosity around exploring how we might improve our capabilities and support the latest industry developments

Associate, Asset Management Compliance

Salary

Job Level

About the role

Requirements

VP of Global AML and Sanctions Compliance

Compliance Officer, Forex

Marketing Specialist, Forex/Fintech

Partner Compliance Program Manager

Data Scientist - AML @ Cross River