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2088000-1

Job Description

As a member of the Control Room team, the Compliance Advisor is responsible for overseeing various policies, including the policies on Material Non-Public Information (“MNPI”) and Information Barriers (“IB”) and supporting the daily operational tasks associated with each of these areas. This role requires a general knowledge of investment adviser and investment company compliance and the rules and risks under which they operate. Day-to-day interaction with business partners across all asset classes as well as legal, risk and compliance team members are required to ensure that information barrier restrictions are understood, and issues are resolved in an appropriate and timely manner.

The Role

• Supporting and maintaining the disaggregation Information Barrier program, including policy & procedure updates, annual training development, internal/external audit support and other administrative responsibilities;
• Resolving escalated matters, including research, documentation, discussion with Legal and other business units;
• Supporting the day-to-day operations for MNPI restriction processes;
• Evaluating and applying regulatory requirements to requests received related to information sharing.

The Expertise And Skills You Bring

• Bachelor’s degree with 5+ years in the financial services industry, compliance, legal, and/or risk experience;
• Motivated self-starter with the ability to work independently;
• High degree of integrity and strong work ethic;
• Strong analytical and problem-solving skills with the ability to multi-task, prioritize and manage work effectively;
• Extremely detail oriented with an ability to interpret complex (and often ambiguous) matters and provide next steps for solutioning;
• Excellent verbal and written communication skills.

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 Control Room team within AMC is responsible for supporting both the Information Barriers and Material Non-Public Information programs. This team serves as a point of contact for individuals across Asset Management and more broadly, across the firm, regarding inquiries pertaining to the aforementioned programs.

Certifications

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 2023. 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.

At Fidelity, 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”. Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, 5 consecutive days, every four weeks. These requirements are subject to change.

We invite you to Find Your Fidelity at fidelitycareers.com.

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 Accommodation Team by sending an email to accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 3.

At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry . Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.