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Associate, Regulatory Reporting External Support

4 months ago

Boston, United States Fidelity Investments Full time
Job Description:

The Role

As an Associate within the Regulatory Reporting External Support team, you will be responsible for providing frontline support to the firm's external shareholders for all matters related to regulatory reporting. This role carries a dual function in that a portion of the work will be dedicated to working closely with the firm's institutional broker dealer clearing and correspondent clients, while also partnering with compliance to respond directly to regulator inquiries regarding previous reporting activity or existing processes used to report on required trading and customer account information. As part of this role, you will also be responsible for partnering more broadly across the product, data and operations teams that support regulatory reporting.

The Expertise and Skills You Bring
  • Externally-facing experience working either directly with clients or external firm stakeholders
  • Previous experience supporting client activity related to trading, financial reporting, or broader operational activity and/or interacting with financial regulators or supporting business functions (ie compliance) that do so.
  • FINRA Brokerage licenses Series 7 & 63 required within 6 months
  • Optimizing the broker dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
  • Partnering with;
    • Compliance partners to respond to regulatory examinations, including timely and accurate communications to regulator inquiries.
    • Data analytics team to review activity related to customer and regulator inquiries.
    • Product and Operations teams to make enhancements to applications and processes as a result of client feedback or regulator findings.
  • Proactively provide the regulatory reporting group with insight gained from regular interactions with clients and regulators


The Team

This dynamic team is part of Fidelity's Capital Markets group. Fidelity, through its broker dealers, is required to send significant amounts of detailed trading and customer account and identification data to various governmental and industry regulators such as FINRA, FINRA CAT, the SEC and MSRB. The Regulatory Reporting group, across several functions, is responsible for performing these duties on behalf of the broader firm. The group ensures this can be done by working closely with business partners such as Trading, Technology, Customer Support teams and Compliance/Legal. The group plays a critical role by ensuring the firm meets stated requirements set by industry regulators and therefore not subject to disciplinary action or fines.

Certifications:

Category:

Brokerage Operations

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).