Senior Advisor, Asset Management Compliance

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Fidelity Investments
  • 25 Nov 17 2017-11-25

Senior Advisor, Asset Management Compliance

This position is a key resource in Fidelity's Asset Management Compliance ("AMC") function, providing dedicated compliance support to Strategic Advisers, Inc. ("SAI"). SAI is a registered investment adviser providing wealth management and planning services to Fidelity's retail and workplace clients.

AMC is a central function whose mission is to advance Fidelity's reputation as the most trusted provider of financial services. As part of a dedicated group within AMC known as "SAI Compliance", the Senior Advisor will be a key member of our team responsible for the effective design and implementation of compliance programs.

AMC requires a proven compliance professional with asset management and regulatory experience to assist in the further development of our compliance programs. This role will focus on investment adviser compliance responsibilities and product development advice and guidance in a dynamic environment with an expanding platform and new wealth management services. The role will play a part in the oversight of Fidelity's financial planning tools and methodology. Additionally, the role will assist in implementing changes to compliance programs, including changes due to new federal and state laws, regulations, and internally developed policies and procedures.

The ideal candidate will have knowledge of the Investment Advisers Act of 1940, FINRA, DOL, and SEC regulations. The individual will preferably have both industry and regulatory experience.

Primary Responsibilities

Key responsibilities related to this position include:

  • Compliance advice and guidance on managed accounts and tools methodology;
  • Implement appropriate compliance policies and procedures;
  • Identify, resolve, monitor, and track compliance matters;
  • Serve as subject matter expert and help draft SAI ADV brochure updates; and
  • Help develop guidelines to manage conflicts of interest.


Education and Experience
  • 5 years of Compliance, Risk, and/or regulatory experience in the financial services industry
  • JD or advanced business degree preferred
  • Knowledge of the Investment Advisers Act of 1940, FINRA, DOL, and SEC regulations


Skills and Knowledge
  • Strong self-starter, relationship builder, and strategic thinker
  • Advanced ability to understand and analyze complex financial, legal, operational, and regulatory requirements
  • Advanced presentation skills and ability to effectively communicate; skilled at interactions with employees at all levels
  • Ability to influence key decision makers through a combination of knowledge, reasoning, and relationships
  • Ability to succeed in a deadline-driven work environment
Fidelity Investments is one of the world's largest providers of financial services. Founded in 1946, the firm is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and many other financial products and services to more than 20 million individuals and institutions, as well as through 5,000 financial intermediary firms. For more information about Fidelity Investments, visit http://www.fidelity.com/ .

Fidelity Investments is an equal opportunity employer.