Compliance Director

1 week ago

Merrimack, New Hampshire, United States Fidelity Investments Full time
Job Description:

Compliance Director

The Role

  • Independently responding to regulatory inquiries accurately and in a timely manner
  • 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
  • Conduct 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.

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 independently identity, analyze and resolve problems

Note: Fidelity is not providing immigration sponsorship for this position

The Team

As a Compliance Director in Regulatory Management, you will have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters involving sales, regulatory reporting, and trading matters. You will be responsible for responding to regulatory inquiries and handling examinations related to Clearing, 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

The base salary range for this position is $103,000-211,000 USD per year.

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.

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. Note, the application window closes when the position is filled or unposted.

Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

Certifications:
Category:

Compliance

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