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Fidelity Investments · 7 hours ago

Vice President, Asset Management Compliance

Boston, MA

Full-time

Hybrid

Senior Level, Lead/Staff

$125K/yr - $258K/yr

10+ years exp

Fidelity Investments is a leading financial services company seeking a Vice President for its Asset Management Compliance team. The role involves developing and managing the Alternatives compliance program, providing oversight and guidance to investment teams, and ensuring compliance with global regulations and corporate policies.

Asset ManagementFinanceFinancial ServicesRetirementWealth Management

Growth Opportunities

No H1B

Responsibilities

Actively participate in the development and support of an Alternatives compliance program and be the lead compliance subject matter expert for liquid alternatives

Provide ongoing management of Alternatives compliance program as one of the AMC subject matter experts in Alternatives compliance team

Support Compliance Operations, Reporting and Data considerations

As one of the AMC subject matter experts and member of the Alternatives compliance team provide oversight and guidance to investment teams and business leaders as Fidelity grows its alternatives business through:

The development and evolution of an Alternatives compliance programs

Support Alternative’s investment strategies, partnering with internal leadership and product development teams

Ongoing management of Alternatives compliance program as one of the AMC subject matter experts

Support the product development groups as well as the various stakeholders including Legal, Treasurers Office, AM Risk in launching new alternatives offerings (assess compliance impacts to new offerings, review of offering docs)

Develop and maintain a robust compliance program that fits and evolves around the Alts businesses (policies enhancements, new procedures)

Assists with the growth and development of the compliance team

As an asset class lead, be a compliance point of contact for various Fidelity teams engaged in Alternative’s business lines

Provide oversight and guidance to investment teams and business leaders of the Alts business (co-investment requirements, season & sell, VCOC, etc.)

Provide compliance support and oversight of various aspects to Fidelity’s registered and private funds and investment advisory services

Support the alternatives compliance review of marketing materials

Provide oversight as one of the leaders and the contact person for the investment teams on matters involving conflicts management

Qualification

Asset management complianceFund formation for alternativesAsset management lawsHedge funds experiencePrivate equity experienceCompliance program developmentStakeholder collaborationTeam leadership

Required

Bachelors or equivalent with 12+ years of asset management compliance experience or Masters with 10+ years of asset management compliance experience

Strong background in fund formation for alternatives as well as operational, distribution, and compliance matters

Experience with various asset classes including hedge funds, managed futures funds, liquid alternatives, Business Development Companies, private equity, private credit, real estate

Solid understanding of the asset management laws and regulation, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1936, the Commodity Futures Modernization Act of 2000, the related SEC, CFTC and NFA rules and regulations as well as knowledge of industry practices relating to alternative investments

Provide oversight and guidance to investment teams and business leaders as Fidelity grows its alternatives business through the development and evolution of an Alternatives compliance programs

Support Alternative's investment strategies, partnering with internal leadership and product development teams