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Director of Regulatory Reporting

1 month ago


Étreux, Hauts-de-France, United States Fidelity Investments Full time
Job Description:

The Role

Fidelity Investments is seeking a highly skilled Director of Regulatory Reporting to join our team. As a key member of our Regulatory Reporting group, you will be responsible for ensuring the accuracy and integrity of trade and position reporting submitted to regulatory agencies. This includes understanding the core businesses of our trading floor, how our systems work and inter-relate, and the various operational flows supporting our different trading desks and reporting requirements.

The Expertise and Skills You Bring

  • Experience and understanding of trade and position reporting requirements, including CAT, CAIS, Rule 605, and Rule 606.
  • Strong knowledge of broker/dealer Customer and Account Information systems and/or highly complex order routing flows and their impact on downstream systems.
  • Demonstrated ability to lead and participate in medium to large-scale projects and successfully drive positive results.
  • Critical thinking skills necessary to craft new analytical methods to proactively identify discrepancies in data across several reporting platforms.
  • Ability to act as a subject-matter expert while supporting the Compliance team in responding to inquiries, audits, and/or exams from regulators in a timely manner.
  • Demonstrated ability to document detailed business requirements and scenario-based use-cases for new rule implementations or rule updates.
  • Series 7 and Series 24 required within 6 months of hire.
  • Working knowledge of SQL, Oracle databases, Excel, and data visualization tools preferred.
  • Ability to build and maintain professional relationships with internal and external business partners.
  • Excellent verbal and written communication skills and the ability to present material to senior leaders as well as peers.
  • Microsoft Office applications, particularly Excel and PowerPoint.
  • Strong time management and prioritization skills.

The Team

This dynamic team is part of Fidelity Capital Markets. Our Regulatory Reporting group plays an integral role in ensuring that all trading activity has been accurately reported to regulatory agencies. The team's directive is to analyze and identify issues or discrepancies in our reporting programs and work closely with the Trading, Middle Office, and Technology teams to deliver a solution to address these.

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.

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.

We invite you to Find Your Fidelity at 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.