Fidelity Investments · 1 month ago
Senior Manager, Compliance Advisor
Smithfield, RI
Full-time
Hybrid
Senior Level
$85K/yr - $171K/yr
5+ years expFidelity Investments is a leading financial services company, and they are seeking a Senior Manager, Compliance Advisor to support their Asset Management Compliance team. The role involves coordinating the sub-adviser oversight program, ensuring compliance with regulatory standards, and fostering partnerships with key business partners to enhance solutions-based products.
Asset ManagementFinanceFinancial ServicesRetirementWealth Management
Responsibilities
Coordinate the sub-adviser oversight program, including quarterly certifications and board reporting deliverables
Perform sub-adviser oversight on behalf of the CCO, Boards of Trustees, and Fund shareholders
Maintain best in class sub-adviser oversight program through continuous assessment of regulatory changes and process improvement opportunities
Fostering strong partnerships with key business partners to support expansion of solutions-based products and fund offerings
Qualification
Required
Bachelor's degree
5-10 years of compliance, risk, and/or regulatory experience in the financial services industry
Knowledge of the federal securities laws, including the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Effective verbal and written communication skills
Familiarity with Fidelity's Asset Management business
Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment
Strong analytical and problem-solving skills
Driven to evaluate opportunities for process improvements through technology and other creative solutions
Benefits
Comprehensive health care coverage and emotional well-being support
Market-leading retirement
Generous paid time off and parental leave
Charitable giving employee match program
Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
Company
Fidelity Investments
Fidelity’s mission is to strengthen the financial well-being of our customers and deliver better outcomes for the clients and businesses we serve.
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$152.82MKey Investors
Apple
2020-12-28Secondary Market· $2.5M
2018-01-14Secondary Market· $1M
2017-05-03Secondary Market· $12.5M
Leadership Team
Abigail Johnson
Chairman & CEO
Jeanmarie Ward
Senior Vice President of Architecture
Recent News
2026-01-16
2026-01-16
Company data provided by crunchbase