Senior Advisor, Regulatory Management
Job details
- Location
- Merrimack, New Hampshire
- Work type
- Onsite
- Posted
- 4 weeks ago
- Apply on
- fmr.wd1.myworkdayjobs.com
About this role
Fidelity will not provide immigration sponsorship for this position.
Job Description:
The Role
The Senior Advisor, Regulatory Management provides expertise, analysis, and compliance support for regulatory matters. In this role you will assist in managing regulatory exams and inquiries, analyze regulatory developments and assess their impact, and help coordinate across Asset Management Compliance to provide guidance on an increasingly complex regulatory landscape.
The Expertise and Skills You Bring
- JD or other advanced degree preferred
- 5+ years of compliance, legal, and/or regulatory experience in investment management; or 4+ years’ asset management experience within a law firm
- Solid understanding of federal securities laws, including SEC, CFTC, and NFA rules and regulations.
- Ability to analyze and interpret complex regulatory requirements and clearly communicate the impact of those requirements on Asset Management’s advisers and the Fidelity funds, both in writing and verbally.
- Excellent collaboration, communication, presentation, and relationship management skills.
- Ability to identify compliance processes that may require modification as a result of regulatory change and escalate appropriately.
- Outstanding organizational, prioritization, and communication skills to effectively handle multiple regulatory initiatives simultaneously.
- Broad familiarity with Fidelity’s businesses, investment products, and operating model preferred.
The Team
The Regulatory Management team within Asset Management Compliance (“AMC”) provides oversight, guidance, and strategic insight to investment teams and business leaders as Fidelity grows its business and its regulatory remit expands. The team monitors proposed regulatory changes and final rule pronouncements, collaborates with industry trade organizations, contributes to Fidelity’s overall regulatory viewpoint, and leads the coordination and management of regulatory exams and inquiries.
Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Category:
CompliancePlease 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.
Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
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 experience.
Reasonable accommodations
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 Accommodation Team by sending an email to [email protected], or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
Fidelity 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.
Applicant screening
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.