Job Description:

The Role

• Supporting the operations of the material non-public information program by responding timely to requests regarding the establishment of fund and personal trade restrictions as well as reviewing exception alerts and responding/resolving as needed;
• Compiling information/data for internal reporting and regulatory responses;
• Responding to internal client inquiries regarding routine basic matters and escalate as appropriate;
• Active monitoring in support of compliance with information barriers;
• Supporting the eCommunications program regarding policy reviews and escalated items;
• Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement.

The Expertise and Skills You Bring

• Bachelor's degree with 1-2 years’ experience in a financial services environment preferred;
• A teammate with good interpersonal skills and the ability to work collaboratively across departments;
• Strong organizational skills with a proven track record to multi-task with an attention to detail;
• Sound decision-making ability and risk management skills;
• Strong problem solving and analytical skills and the ability to be flexible in a fast-paced, changing environment;
• Skills to communicate effectively, influence and solve problems with a variety of business partners;
• Able to identify key opportunities for improvements in process through technology solutions.

Note: Fidelity is not providing immigration sponsorship for this position

The Team

Asset Management Compliance (“AMC”) 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.

The Control Room within AMC is responsible for overseeing various policies, including policies on Inside Information, Information Barriers, eCommunications, Access Provisioning  and its related investment advisers (the “Advisers”).   The Compliance Associate is responsible for assisting the team in leading and directing the program for the implementation, operations, and monitoring of the aforementioned policies.

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 experiences.

For information about working at Fidelity, visit FidelityCareers.com.  Fidelity Investments is an equal opportunity employer.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process. Please email us at [email protected] or call 800-835-5099, prompt 2, option 2 if you would like to request an accommodation.

The base salary range for this position is $60,000-115,000 USD per year.  

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.   

We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home.  These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.  Note, the application window closes when the position is filled or unposted.

Please 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.

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please consult with your recruiter for the specific expectations for this position.

Certifications:

Category:

Compliance