Co-op, Compliance Associate
Co-op, Compliance Associate
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Job Description
Job Description:
Compliance Advisor
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
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
Bachelors degree in a business discipline (finance general business or economics) preferred
Knowledge of or experience in the financial services industry compliance and/or operations
Pre-trade compliance and/or order-management technology experience a plus
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 Fidelitys 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
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 . 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 or call prompt 2 option 2 if you would like to request an accommodation.
Certifications:
Category:
AdministrationMost 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 be advised that Fidelitys 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.
Required Experience:
IC
Employment Type
Full-Time
