Job Description:
The Role
As a member of the Fidelity Digital Assets (FDA) Compliance team, you will serve as an informed and trusted business partner, promoting a culture of ethical conduct and commitment to compliance. You will also collaborate with many teams across the Fidelity organization, such as Personal Investing, Fidelity Institutional, Workplace Investing, and Government Relations.
In this role, you will work closely with our regulatory team to support ongoing compliance with regulatory and licensing requirements. In addition, you will serve as a compliance resource for several cross-enterprise teams. You will also play a critical role in developing and tracking effective policies, procedures, and controls.
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You will be responsible for:
- Preparing, reviewing, and submitting ongoing regulatory filings
- Managing examinations and inquiry responses, including coordinating with business partners to ensure timely delivery, task tracking, preparing and formalizing responses
- Maintaining program documentation and drafting, reviewing, and maintaining operating procedures
- Fulfilling mandated recordkeeping requirements
- Performing proactive reviews of program controls supporting regulatory compliance
- Preparing accurate reporting and visually appealing, professional, and effective presentations
- Collaborating to identify new uses of technology to support the team
- Supporting ongoing regulator relationship management
The Expertise and Skills You Bring
- Bachelor's degree with at least 2-3 years of work experience
- Background in crypto, digital assets and/or blockchain experience preferred
- Crypto certifications a plus
- Excellent written and verbal communication and relationship management skills
- Experience with operational activities, process/project management, and financial reporting
- Experience handling regulatory compliance affairs for digital assets a plus
- Detail oriented with unwavering dedication to accuracy and quality
- Focused on continuous learning and process improvement, including seeking out new technology based solutions for internal processes
- Ability to apply sound judgment to spot issues and identify items requiring manager awareness
- Ability to balance multiple tasks and priorities simultaneously
- Naturally collaborative with the ability to work independently
- Knowledge of compliance, risk, audit, or legal functions preferred
- Federal law enforcement a plus
The Team
The FDA Compliance Team (within Enterprise Compliance) is responsible for designing, implementing, and supporting the compliance programs for FDA's growing institutional and retail businesses. This includes compliance with federal and state rules, regulations, and licensing requirements. The Team assists the FDA business in identifying and managing compliance and regulatory risks while:
- Supporting new and existing products and services;
- Supporting the organization's overall control environment;
- Shaping governance, social media, and communications; and
- Building connections between Fidelity Digital Assets Compliance and other cross-Fidelity
- Compliance functions.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.
Certifications:
Category:
Compliance