Vice President, Regulatory Management

  • Competitive
  • Boston, MA, USA
  • Permanent, Full time
  • Fidelity Investments
  • 07 Nov 17 2017-11-07

See job description for details

The Vice President, Regulatory Management, working in conjunction with legal and oversight partners such as the Asset Management Treasurers Office and Enterprise Compliance, will be responsible for the overall management of regulatory change impacting Asset Management's advisers and the Fidelity funds.

The Vice President will be expected to provide compliance expertise and leadership in the development of Asset Management's response to regulatory changes and interacting with senior members of risk, compliance, and legal, including the fund and adviser Chief Compliance Officers.

The Vice President will have a significant role in protecting the interests of Fidelity, its funds and advisers, and its clients. To ensure the preservation of Fidelity's reputation for excellence, the Vice President must demonstrate superior work ethic and leadership ability, commitment to Fidelity's values, and high quality assurance standards.

Primary Responsibilities

  • Develop and maintain regulatory change management practices
  • In conjunction with legal and oversight partners, monitor new and changing regulations; coordinate and/or participate in Asset Management's response to rule proposals
  • Own accountability for the implementation of new or amended regulations completely and timely
  • Manage, provide leadership, and direct assigned personnel to accomplish timely and effective deliverables (e.g., new or updated policies, procedures, processes, etc.) to ensure compliance with new or amended regulations
  • Ensure asset class compliance needs are being met and advise on technical interpretation of regulatory changes impacting investment activities
  • Recommend and influence on-going changes in investment division policies, procedures, and standards to ensure commonality
  • Foster strong partnerships with legal, compliance, and project management personnel in business units across Fidelity whose teams execute required compliance program components for the Fidelity funds and advisers
  • Represent Asset Management in cross-company regulatory management committees and/or working groups
  • Proactively engage industry peers and represent Asset Management in compliance-related industry working groups
  • Effectively minimize organization risk, and escalate to senior management
  • Provide leadership, research and guidance around compliance issues and trends to manage risk
  • Participate and lead department activities and staff meetings
  • Develop, implement, and maintain effective and timely communication and reporting
  • Actively participate in other department projects as needed


Skills and Knowledge

  • Ability to understand complex issues and regulatory requirements and to provide clear and concise explanations in written and verbal communications, including to senior members of the firm
  • Superior organizational skills with a proven ability to multi-task and manage simultaneous projects; ability to manage project teams while also contributing a high volume of individual work product
  • Very strong analytical and problem-solving abilities
  • Effective and efficient decision-maker
  • Astute meeting facilitator capable of commanding respect and gaining consensus
  • Ability to succeed in a deadline-driven work environment
  • Strong conflict resolution and change management skills
  • Strong motivational skills
  • Ability to work effectively with clients and senior management
  • Excellent oral and written communication and presentation skills
  • Strong understanding of mutual fund industry and securities markets


Education and Experience

  • JD degree a plus
  • Bachelor's degree and 10 years experience in the financial services industry
  • Strong Financial Services regulatory experience

About Fidelity Investments


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.