Senior Associate, Regulatory Reporting External Support
1 month ago
Job Description:
The Role
As a Senior 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.\u00A0 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.\u00A0 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 to respond to regulatory examinations, including timely and accurate communications to regulator inquiries.
- Data analytics to review activity related to customer and regulator inquiries.
- Product and Operations 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.\u00A0 The group ensures this can be done by working closely with business partners such as Trading, Technology, Customer Support teams and Compliance/Legal.\u00A0 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:
Company Overview
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 Us
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\u2014we offer a range of opportunities for learning so you can build the career you ve always imagined.
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).
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. 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 invite you to Find Your Fidelity at fidelitycareers.com.
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 accommodations@fmr.com.
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