Senior Advisor, Asset Management Compliance

Responsibilities

• Assess the impacts of new products, investment capabilities, and regulatory changes to the AMC operating model.
• Build, lead, and support implementation plans that ensure readiness across all functional areas within AMC while representing AMC with product and regulatory facing business partners across Fidelity.
• Design, build, and maintain robust product and regulatory intake, implementation, and metrics reporting tools to drive and support collaboration, readiness, and transparency.
• Lead or support a variety of initiatives with a focus on emerging lines of business, such as digital assets and alternative products.
• Build and maintain strong working relationships with Fidelity senior management and initiative stakeholders, providing timely awareness of key risks, issues, and results across AMC and with key Asset Management leaders and business partners.

• Bachelors or equivalent with 8+ years of experience (or Masters with 6+ years) of financial services experience with a background in compliance, legal and/or regulatory experience.
• Working knowledge of investment product and instrument fluency (structures, lifecycle, and risks) and how those map to compliance obligations, including coverage of alternatives (e.g., private funds, private credit, derivatives) and/or digital assets.
• An understanding of asset management laws and regulations, including Investment Company Act of 1940, investment adviser businesses, and commodities rules as well as knowledge of industry practices and norms.
• Experience and technical expertise with practices that pertain to the asset management industry, including the investment process, derivatives and other instrument types, disclosure practices, trading and allocation issues, fund treasury and accounting matters, transfer agent, distribution, and custodial practices.
• An understanding of global compliance programs, including compliance policies and procedures, control frameworks, and risk assessments, with an approach to evaluate and recommend improvements.
• Outstanding organizational skills, including working on project teams while also contributing individual work.
• Strong communication, presentation, and relationship management skills
• Ability to connect with senior leaders and decision makers and influence desired outcomes
• Excellent interpersonal skills and the ability to work collaboratively across functions.
• Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
• Experience leading effective meetings to create positive outcomes
• Appropriately gauges outcomes to take calculated risks in decision-making
• Ability to swiftly comprehend complex topics
• Knows how to effectively break down a large challenge and organize it into actionable steps
• Comfortability representing a point-of-view on behalf of a broader organization despite not being an expert.