Director, Asset Management Compliance

About the role

The Director, Asset Management Compliance will perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products on behalf of the CCOs, other governing bodies, and investors. Compliance oversight programs require continuous assessment of improvement opportunities and regulatory changes. The compliance environment must be proactively evaluated to assess strengths or weaknesses of controls that support products and services.

Responsibilities

• Support the expansion of solutions-based products and fund offerings, particularly in the alternatives asset class.
• Foster strong partnerships with key business partners to support the expansion of solutions-based products and fund offerings, particularly in the alternatives asset class.
• Evaluate opportunities for improvements in process through technology solutions.
• Drive to evaluate opportunities for improvements in process through technology solutions.
• Provide clear and concise point of view in written and verbal communications, including to senior management.
• Understand complex issues and regulatory requirements and provide clear and concise point of view in written and verbal communications, including to senior management.

Requirements

• Bachelor’s degree or equivalent
• 10+ years of compliance, risk, and/or regulatory experience in the financial services industry
• Experience supporting alternative investment products and/or private funds (preferred, not required)
• Strong understanding of the federal securities laws including the Investment Advisers Act of 1940
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical and problem-solving skills with an ability to understand complex issues and regulatory requirements
• Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment

Qualifications

• Strong understanding of the federal securities laws including the Investment Advisers Act of 1940
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical and problem-solving skills with an ability to understand complex issues and regulatory requirements and to provide clear and concise point of view in written and verbal communications, including to senior management
• Drive to evaluate opportunities for improvements in process through technology solutions
• Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment

Skills

• Strong understanding of the federal securities laws including the Investment Advisers Act of 1940
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical and problem-solving skills with an ability to understand complex issues and regulatory requirements and to provide clear and concise point of view in written and verbal communications, including to senior management
• Drive to evaluate opportunities for improvements in process through technology solutions
• Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment

Benefits

• Comprehensive health care coverage
• Emotional well-being support
• Market-leading retirement
• Generous paid time off and parental leave
• Charitable giving employee match program
• Student loan repayment, tuition reimbursement, and learning resources to develop your career

Pay

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.

Schedule

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.