Director, Aggregate Monitoring

Fidelity will not provide immigration sponsorship for this position.

Job Description:

Director, Aggregate Monitoring

The Role

• Manage and oversee a team of individuals responsible for pre-trade and post-trade compliance monitoring which spans across all product types
• Provide strategic direction to meet both the team’s and organization’s goals
• Educate investment professionals on applicable firmwide compliance limits and implement effective mechanisms to provide timely reporting
• Collaborate with business partners to lead business initiatives, resolve complex issues, and drive consensus to align with compliance requirements
• Solve business and operational problems with a focus on process improvement and automation
• Provide Asset Management Compliance senior leaders with information on current trends and issues recognized during assignments and recommend plans for improvement

The Expertise and Skills You Bring

• Bachelor’s degree and typically 10 plus years in the financial services industry, compliance, legal, risk, and/or audit experience

• Broad and deep experience in the area of investment compliance, investment support, or investment operations

• Strong leadership and talent development skills
• Exceptional relationship management, communication and influencing skills
• Independent thinker; accountable for and skilled in exercising sound judgment
• High degree of integrity and strong work ethic; orientation toward results; positive attitude
• Strong analytical, organizational, and problem solving skills
• Detail oriented with a focus on potential anomalies in trading and investment management behaviors
• Ability to explain complex regulatory and policy requirements to all levels of the organization

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 Investment Compliance Monitoring Team, within AMC, is responsible for proactively reducing the risk of trade error and compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. This team is the first point of contact for investment professionals seeking advice related to their portfolios’ state of compliance. Investment compliance support spans across all product types. 

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.

The base salary range for this position is $103,000-211,000 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.

Certifications:

Category: