Regulatory Compliance Director

3 weeks ago

Boston, Massachusetts, United States Fidelity Investments Full time
Job Description:

Director, FDAS Compliance - Regulatory Relationship and Exam Management

The Role

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. Your responsibilities will include:

  • Oversight of Regulator Relationships: Provide leadership to decentralized teams of individuals to support regulatory reporting, examinations, responses and communications.
  • Regulatory Examination Management: Directly manage regulatory examinations and ongoing supervisory requests, which includes preparation of business/stakeholders, coordination and engagement during exams, and facilitation of complete and timely responses.
  • Regulatory Risk Management: Assist the growing FDAS business in identifying and managing regulatory risks.
  • Product and Service Support: Support new and existing FDAS products, services, and geographic expansion of the business.
  • Regulatory Landscape Monitoring: Track the evolving regulatory landscape within the digital assets industry; review and analyze regulatory requirements and potential impact to the business.
  • Governance and Control Environment: Advise and shape governance, reporting and the overall control environment across FDAS.
  • Enterprise Compliance Connections: Build connections between FDAS and Enterprise Compliance policies and functions.

The Expertise and Skills You Bring

  • 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.
  • Strong analytical, organizational, and problem-solving skills.
  • Strong relationship and communication skills; strong ability to work independently and as part of a close-knit team.
  • Ability to work effectively in a fast-moving, challenging regulatory environment.
  • Ability to influence key decision makers through a combination of knowledge, reasoning and relationships.

The Team

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. The Enterprise Services portfolio also includes Fidelity Labs, the Fidelity Center for Applied Technology, F-Prime Capital, and Impresa Management LLC.

About Fidelity Investments

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 Fidelity

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 Hybrid Working Model

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.

Equal Opportunity Employer

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.

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 .

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