Senior Advisor, Regulatory Management

Job Description:

The Role 

The Senior Advisor, Regulatory Management provides expertise, analysis, and compliance support for regulatory matters. In this role you will assist in managing regulatory exams and inquiries, analyze regulatory developments and assess their impact, and help coordinate across Asset Management Compliance to provide guidance on an increasingly complex regulatory landscape.  

The Expertise and Skills You Bring 

• JD or other advanced degree preferred 

• 5+ years of compliance, legal, and/or regulatory experience in investment management; or 4+ years’ asset management experience within a law firm 

• Solid understanding of federal securities laws, including SEC, CFTC, and NFA rules and regulations. 

• Ability to analyze and interpret complex regulatory requirements and clearly communicate the impact of those requirements on Asset Management’s advisers and the Fidelity funds, both in writing and verbally. 

• Excellent collaboration, communication, presentation, and relationship management skills.  

• Ability to identify compliance processes that may require modification as a result of regulatory change and escalate appropriately. 

• Outstanding organizational, prioritization, and communication skills to effectively handle multiple regulatory initiatives simultaneously. 

• Broad familiarity with Fidelity’s businesses, investment products, and operating model preferred. 

The Team 

The Regulatory Management team within Asset Management Compliance (“AMC”) provides oversight, guidance, and strategic insight to investment teams and business leaders as Fidelity grows its business and its regulatory remit expands. The team monitors proposed regulatory changes and final rule pronouncements, collaborates with industry trade organizations, contributes to Fidelity’s overall regulatory viewpoint, and leads the coordination and management of regulatory exams and inquiries. 

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.

Certifications:

Category:

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.