Compliance Specialist managing compliance operations within Merpay's financial services. Focused on governance, UX balance, and regulatory adherence.
SF
Hybrid Senior Manager, Compliance Advisor
Posted 3 months ago
About the role
- Manage compliance oversight for sub-advisers at Fidelity Investments. Ensure alignment with regulations and promote customer trust in financial services.
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
Requirements
- 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
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