Director, Asset Management Compliance

Are you a highly experienced compliance professional with a passion for asset management? Do you have a knack for navigating complex regulations and ensuring regulatory compliance in a fast-paced environment? If so, Fidelity Investments is seeking a Director of Asset Management Compliance to join our dynamic team. As a leader in our asset management division, you will play a critical role in ensuring our business operations are in compliance with industry regulations and internal policies. We are looking for someone with a strong background in asset management compliance, exceptional leadership skills, and a drive for continuous improvement. If you are ready to take the next step in your career and make a meaningful impact, we want to hear from you.

1. Develop and implement compliance policies and procedures for the asset management division in accordance with industry regulations and internal policies.
2. Monitor and assess the effectiveness of existing compliance processes and identify areas for improvement.
3. Provide guidance and support to the asset management team to ensure compliance with all applicable regulations and internal policies.
4. Stay up-to-date with regulatory changes and communicate any potential impact to the business.
5. Conduct regular compliance audits and reviews to identify any potential compliance issues and develop corrective action plans.
6. Collaborate with cross-functional teams, including legal and risk management, to ensure alignment and consistency in compliance practices.
7. Lead and mentor a team of compliance professionals, providing training and development opportunities to enhance their skills and knowledge.
8. Serve as a subject matter expert on asset management compliance matters and provide guidance to senior management and other stakeholders.
9. Foster a culture of compliance by promoting awareness and understanding of compliance regulations and policies throughout the organization.
10. Develop and maintain relationships with regulatory agencies and external auditors to ensure open communication and timely responses to inquiries.
11. Prepare and present compliance reports and updates to senior management and other stakeholders.
12. Implement and manage a compliance risk assessment process to identify and mitigate potential compliance risks.
13. Continuously evaluate and improve the compliance program to ensure it meets regulatory requirements and industry best practices.
14. Act as a liaison between the asset management division and regulators, responding to inquiries and coordinating regulatory exams.
15. Ensure all compliance-related documentation is up-to-date and stored securely for future reference.

According to JobzMall, the average salary range for a Director, Asset Management Compliance in New York, NY, USA is $135,000-$170,000 per year. This can vary depending on the specific company, industry, and level of experience of the individual. Bonuses and benefits may also be included in the overall compensation package.

Fidelity Investments Inc., commonly referred to as Fidelity, earlier as Fidelity Management & Research or FMR, is an American multinational financial services corporation based in Boston, Massachusetts.