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Senior Compliance Advisor

Senior Compliance Advisor

Senior Compliance Advisor

Fidelity Investments
Boston, MA 02210

Job details

Job Type


Job Description:

The Role

  • Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and alternative funds and accounts to ensure that their investment policy limitations are followed
  • Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
  • Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
  • Monitoring complex investment strategies
  • Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement
  • Participating in and leading strategic initiatives within the team and in partnership with various business partners

This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working.

The Expertise and Skills You Bring

  • Bachelor's degree in a business discipline (finance, general business or economics) preferred
  • Comfortable with pre-trade compliance and/or order-management technology
  • Experience in financial services industry
  • Deep experience in the industry, preferably in the area of investment compliance, investment support, or investment operations
  • Excellent communication skills, when needed to present on investment compliance topics and to senior investment professionals
  • Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
  • Valued teammate with good interpersonal skills and like to work collaboratively across functions
  • Able to identify key opportunities for improvements in process through technology solutions

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 portfolio 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.


Company Overview

Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients’ money.

Join Us

At Fidelity, you’ll find endless opportunities to build a meaningful career that positively impacts peoples’ lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees’ Choice Award, we have been recognized by our employees as a Best Place to Work in 2022. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you’ve always imagined.

As a result of COVID-19, many of our associates are continuing to work remotely. When Fidelity employees eventually return to the office, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we’re calling “Dynamic Working.”

We invite you to Find Your Fidelity at

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.

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 Leave of Absence/Accommodation Team by sending an email to accommodations, or by calling 800-835-5099, prompt 2, option 2.

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Hiring for this role

• Mobile: NA

• Location: NA

• Post ID: 21518878

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