Cco

2 weeks ago

Boston MA, United States Fidelity Investments Full time

Director, FDAS Compliance - Regulatory Relationship and Exam Management

As a member of the Fidelity Digital Asset Services, LLC ('FDAS') Compliance team, you will serve as an informed and trusted business partner, who promotes a culture of ethical conduct and commitment to compliance, regulatory and legal obligations. In this role on the Regulatory Compliance Team, you will support regulatory oversight of FDAS, collaborating closely with many teams within FDAS and across the Fidelity organization, such as Personal Investing, Fidelity Institutional, and Workplace Investing. Oversight of regulator relationships and interactions by providing leadership to decentralized teams of individuals to support regulatory reporting, examinations, responses and communications.
~ Directly managing regulatory examinations and ongoing supervisory requests, which includes preparation of business/stakeholders, coordination and engagement during exams, and facilitation of complete and timely responses.
~ Assisting the growing FDAS business in identifying and managing regulatory risks.
~ Supporting new and existing FDAS products, services, and geographic expansion of the business
~ Tracking the evolving regulatory landscape within the digital assets industry; reviewing and analyzing regulatory requirements and potential impact to the business.
~ Building connections between FDAS and Enterprise Compliance policies and functions.


10+ years of related work experience as a regulator or interfacing with regulators in a Compliance, Risk or Legal function.
~ Experience interacting with federal and/or state regulators for a financial services company or money transmission regulatory program, including filings, registrations and licensing, regulatory exams and routine communications.
~4-year college degree required, master's degree, MBA or JD is a plus.
~ Strong attention to detail and experience supporting a regulatory compliance program.
~ Ability to work effectively in a fast-moving, challenging regulatory environment.
~ This team reports to the Chief Compliance Officer for Fidelity Digital Assets, a full-service, enterprise-grade platform for securing, trading, and supporting investments in digital assets. FDA is part of the Enterprise Services portfolio of agile, standalone organizations, which drive innovation, with the purpose of collaborating with Fidelity's businesses to develop new sources of revenue, explore emerging technologies, enhance operational capabilities, and improve the customer experience. At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling 'Dynamic Working'. Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, all business days, every four weeks. Reminder: Per the Dynamic Working Policy, approved exceptions will be reviewed annually, or when the associate accepts a new role, whichever comes first.

Enterprise Services Compliance
Compliance

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.
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. 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. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office.
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 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. We welcome those with experience in jobs such as Retail Sales Representative, Senior Accountant, and Accountant and others in the Accounting and Finance to apply.

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