Job Description:
The Role
The Compliance Director position is a senior role within the Wealth and Brokerage (W&B) Compliance team, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the Fidelity Brokerage Services (FBS) broker-dealer. This role may support a diverse variety of products and service initiatives, however, it will largely be focused on supporting the distribution of alternative investments within the broker dealer.
The Expertise and Skills You Bring
- Prior experience with alternative investments and the related regulations is strongly preferred.
- BA/BS degree required, JD, MBA, or advanced business degree a plus
- 10+ years of financial services experience
- 5 years in a compliance, risk, or legal role in financial services with a shown understanding of multiple regulatory rules and requirements (e.g. FINRA, MSRB and SEC regulations and state securities laws, etc.)
- Strong ability to work and thrive in a fast-paced matrixed/agile framework
- Strong self-starter, collaborator, relationship builder, and strategic problem solver
- Sophisticated ability to understand, research and analyze complex financial, legal, operational, and regulatory requirements
- Sophisticated presentation skills and an effective communicator; you are skilled at interactions with employees at all levels
- Strong writing skills, with an ability to make complex topics understandable
- Influence key decision makers through a combination of knowledge, reasoning, and relationships
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The Team
The W&B Compliance team provides compliance support to agile teams supporting a wide array of investors with services including wealth management, retirement planning, active trading and brokerage services, college savings, and financial planning and engagement programs. As a key member of the team, you will provide consultation and advice on broker-dealer products and services offerings to help the business achieve regulatory compliance. While the areas of product and service support may vary and evolve over time, this specific role will largely be focused on supporting the firm's alternative investment business. You will design and develop compliance solutions and controls and document policies and procedures to mitigate risk to the broker-dealer.
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-we offer a range of opportunities for learning so you can build the career you've always imagined.
Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office.
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.