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I advise leaders on how to grow businesses while keeping clients’ interests first and foremost. I currently have the honor of serving as Fidelity's first compliance leader to focus on ESG/sustainable investing. Some other noteworthy areas of leadership experience include: investment stewardship; oversight of unified and separately managed account programs; digital advisory programs; sub-adviser oversight; quantitative model risk management; alternatives compliance; fractional share/direct indexing; oversight of advertising and sales practices; regulatory exam management; and mentoring and employee development.
Fidelity Investments
View- Website:
- fidelity.com
- Employees:
- 10
- Company email:
- Johrenk7@gmail.com
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Head Of Sustainable Investing ComplianceFidelity Investments Feb 2022 - PresentBoston, Ma, UsPartner with Fidelity's global portfolio and product management teams to bring industry-leading sustainable/ESG solutions to retail and institutional clients. Provide strategic compliance advice to leadership and oversee the enhancement of cross-enterprise compliance programs to reflect the latest federal, state, and international requirements and guidance. Advise proxy voting and governance committee. Provide program updates to business leadership and fund boards.
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Strategic Advisers Llc Compliance Lead, Asset Management ComplianceFidelity Investments Sep 2016 - Feb 2022Boston, Ma, UsSuccessfully led the oversight of Fidelity’s suite of wealth management offerings. Led staff in developing comprehensive compliance frameworks for retail and institutional managed solutions, including traditional and sustainable strategies. Managed partnerships with key stakeholders, including leadership in portfolio management, marketing, distribution, technology, fund treasurer’s office, and legal. Directed staff in preparing oversight committee materials and led quarterly meetings with business unit presidents and their senior teams. Served on multiple cross-company steering and fiduciary oversight teams.
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Service Provider Oversight Lead, Asset Management ComplianceFidelity Investments Nov 2010 - Aug 2016Boston, Ma, UsRelocated to Dallas, TX from Boston, MA and launched the managed account Service Provider Oversight function. Led a team responsible for compliance oversight of sub-advisers, custodians, transfer agents, distribution partners, and 3rd-party RIAs (referral program). Key activities overseen included trade allocation, custody, pricing, ID-theft programs, registration & licensing, advertising, recordkeeping, exemptive relief, sales practices, and 3a-4 compliance. Co-led responses to regulatory inquiries and exams.
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Vice President - Managed Accounts Business OversightFidelity Investments Mar 2007 - Oct 2010Boston, Ma, UsContinued to lead the Investment Strategy function (see below) and successfully added the role of risk management lead for Fidelity’s retail managed account services. Represented the business in multiple FINRA arbitration hearings, using findings to implement preventive controls in Fidelity’s distribution and operations functions. Guided the pre-launch risk assessment of Fidelity’s unified managed account offering. Developed the business case for and supervised the rollout of new automated compliance reporting for Fidelity’s investment adviser representatives (currently over 12,000), significantly enhancing oversight of solicitation activity.
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Director - Investment StrategyFidelity Investments Jan 2005 - Feb 2007Boston, Ma, UsRelocated to Merrimack, NH from Dallas, TX and led the team responsible for approving portfolio strategy recommendations for retail managed account clients. Directed a cross-functional team that reviewed client restriction requests to ensure compliance with 3a-4. Collaborated with key business partners in legal, product support, distribution, operations, and technology to implement a new strategy review system that significantly increased scale. Improved review productivity by over 25%, while implementing new quality-control measures and straight- through processing filters.
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Investment StrategistFidelity Investments Apr 2003 - Dec 2004Boston, Ma, UsApproved portfolio strategy recommendations for over 20,000 investors annually, with high ratings for review quality. Developed and delivered asset allocation training for product distribution channels. Partnered with legal team to design manual procedures for reviewing non-standard client risk profiles.
John Bateman Skills
John Bateman Education Details
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Smu Cox School Of BusinessMaster Of Business Administration (M.B.A.) -
The University Of Texas At ArlingtonBachelor’S Degree
Frequently Asked Questions about John Bateman
What company does John Bateman work for?
John Bateman works for Fidelity Investments
What is John Bateman's role at the current company?
John Bateman's current role is Compliance Leader & Business Advisor.
What is John Bateman's email address?
John Bateman's email address is kh****@****ast.net
What is John Bateman's direct phone number?
John Bateman's direct phone number is +160379*****
What schools did John Bateman attend?
John Bateman attended Smu Cox School Of Business, The University Of Texas At Arlington.
What skills is John Bateman known for?
John Bateman has skills like Financial Services, Investments, Asset Management, Mutual Funds, Risk Management.
Who are John Bateman's colleagues?
John Bateman's colleagues are Jeanette Brockman, Taylor Sabin, Katherine S. Hsieh, Joshua Raymer, Emilio Marianelli, Rishi Saxena, Amruta Zirli.
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