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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 10 yrs required
Director, Asset Management Compliance Duties: Responsible for providing a wide range of compliance support in the Asset Management Compliance Division in connection with regulatory reporting. Work closely with a team of multi-disciplinary compliance, legal, and business partner professionals to support the timely and accurate reporting of all Asset Management filings including Forms ADV and PF, and oversight of various other holdings reports such as Sections 13 and 16 filings. Oversee reporting activity and lead related projects that have significant impact, risk and/or compliance implications to Asset Management. 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 Director must demonstrate superior work ethic and leadership ability, commitment to Fidelity’s values, and high quality assurance standards. Lead Form ADV and PF annual filings. Oversee group responsible for additional regulatory filings including Sections 13 and 16. Keep current on US and international regulatory changes affecting the financial services industry and specific Asset Management reporting. Coordinate with technology on system enhancements. Oversee business activities and drive accountability for the identification, analysis and implementation of select regulatory reforms that impact reporting. Identify and recommend clear and concise cost effective solutions for senior management. Drive and support on-going changes in policies, procedures, standards, processes and strategies to support regulatory changes. Monitor and prioritize resourcing as necessary in support of reporting efforts. Provide leadership, research and guidance around reporting issues and trends to manage risk; properly escalate issues. Manage, provide leadership, and direct assigned personnel and others to accomplish timely and effective deliverables designed to increase business effectiveness, enhance efficiency, and reduce risks in our overall compliance program. Ensure appropriate procedures and controls are in place to effectively monitor operational, financial and reputation risks. Develop, implement, and maintain effective communication and reporting. Oversight of Office of Foreign Assets Control (OFAC) and Global Anti-Corruption Programs.
Qualification and Experience
Qualifications: Bachelor’s degree and 10+ years of experience in financial services required. Post-graduate degree desired (e.g., MBA or JD). Knowledge of Federal Securities Laws related to investment advisers and investment companies. Knowledge of US and international regulatory environment. Experience with operational matters pertaining to mutual fund operations, adviser operations, portfolio management and trading. Strong interpersonal, influence and project management skills. Strong conflict resolution and change management skills. Strong understanding of the existing interdependencies of processes, systems, and business units. Strong motivational skills. Ability to work effectively with regulators, legal professionals, business partners and senior management. Strong organizational skills with a proven ability to multi-task and manage multiple projects simultaneously. Effective meeting management skills, ability to bring discussions to closure with consensus. Excellent oral and written communication and presentation skills. Ability to excel in a fast-paced environment. Demonstrated leadership skills. Global and visionary thinker. Strong understanding of mutual fund industry and securities markets. Solid understanding of the financial services regulatory landscape and its regulators as well as with Rules 38a-1 and 206(4)7. Strong analytical and problem-solving abilities and attention to detail.
Ref- 1410965
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