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Fidelity Bank · 1 day ago

Director, Asset Management Compliance Programs and Sub-Adviser Oversight

Merrimack, NH

Full-time

Hybrid

Senior Level, Lead/Staff

$103K/yr - $211K/yr

10+ years exp

Fidelity Bank is a financial services company, and they are seeking a Director to oversee compliance programs and sub-adviser oversight within their Asset Management division. The role involves managing compliance requirements, interacting with compliance leaders, and implementing program enhancements to ensure regulatory adherence.

BankingBitcoinCustomer ServiceFinancial ServicesInsuranceWealth Management

No H1B

Responsibilities

Supporting the build out of new compliance programs

Overseeing various program requirements, including mutual fund, institutional adviser, and NFA/CFTC compliance

Performing ongoing oversight of Board approved sub-advisers

Interacting with compliance leaders within Asset Management and across the firm to ensure program requirements are carried out appropriately

Managing day-to-day deliverables of the fund and adviser compliance programs

Evaluating the impact of regulatory and business changes and implementing program enhancements

Qualification

Compliance experienceRegulatory experienceAsset management lawsProject managementProcess improvementCommunication skillsOrganizational skills

Required

Bachelor's degree or equivalent

Strong compliance, risk, and/or regulatory experience in the financial services industry

Typically, 10+ years industry-related experience

Strong understanding of asset management laws and regulations, including investment company, investment adviser businesses, and commodities rules as well as knowledge of industry practices relating to alternative investments or digital assets

Broad familiarity with Fidelity's Asset Management business and fund service providers across the firm

Ability to understand complex issues and compliance requirements and to provide clear and concise explanations in written and verbal communications, including to senior members of Fidelity

Proven time and project management skills

Outstanding organizational skills and people and program management while also contributing a high volume of individual work

Driven to evaluate opportunities for process improvements through technology and other creative solutions