Job Description:
The Team
As a Compliance Director in Regulatory Management, we will expect you to have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters involving sales and trading matters for our Capital Markets division. You will be responsible for responding to regulatory inquiries and handling examinations related to Clearing and Custody and Capital Markets. Other businesses you will support include Operations & Services group functions, and enterprise-wide policies and functions impacting FI. We work to optimally be a phenomenal partner with regulators and work with integrity to protect Fidelity's reputation!
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The Expertise and Skills You Bring
- Bachelor's Degree required, JD or MBA or advanced business degree preferred
- 10+ years of financial services experience
- Securities industry or regulatory experience preferred
- Product knowledge to include operations, equities and fixed income sales and trading
- Your comprehensive understanding of securities markets, the brokerage business and applicable securities rules and regulations.
- You can draft responses to regulatory inquiries, certain disciplinary actions and exam findings
- You are proficient in Microsoft Excel
- You are able to partner with the legal department concerning litigation, regulatory investigations and regulatory filings
- You are effective when communicating with regulators and internal business partners
- You thrive in a deadline driven, fast-paced environment
- You are able to identity, analyze and resolve problems.
The Value You Deliver
- Responding to regulatory inquiries accurately and in a timely manner
- Independently leading regulatory examinations in person or remotely.
- Drafting timely, detailed, and accurate written communications to industry regulators.
- Sharing knowledge of securities markets and associated regulations
- Conducting detailed research and collaborate with business partners, compliance peers, and Legal
- Identifying core regulatory and compliance issues in a trading environment
- Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed and determining whether to raise to management, the Firm's legal department, or other business partners.
#ComplianceJobs
Certifications:
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money.
Join Us
At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees' Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.
Fidelity's working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
We invite you to Find Your Fidelity at fidelitycareers.com.
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to accommodations@fmr.com.