Compliance Director

Job Description :

Compliance Director, Enterprise Services

The Role

As a Compliance Director for Fidelity's newest clearing Broker Dealer, Green Pier FinTech LLC, you will help design a compliance program that supports various new products and services. You will proactively identify and address regulatory issues and ensure that regulatory requirements are met.

The Expertise and Skills you bring

• 8 years compliance and / or regulatory experience in the financial services industry, preferably in the brokerage industry
• 4-year college degree required
• Strong understanding of financial services compliance, the ability to spot potential regulatory issues and to collaborate to address these issues
• Knowledge of Compliance governance programs, such as Product Review, Business Acceptance, and Conflict of Interest programs
• Experience with Regulatory Rule Analysis and Implementation
• Excellent analytical, organizational, and decision-making skills
• An ability to Influence key decision makers through a combination of knowledge, reasoning, and relationships
• A desire to work across a small, adaptable, and growing business
• Experience working collaboratively across various teams, including Risk, Legal, Audit, and Operations
• An ability to identify, prioritize and address multiple issues simultaneously

The Value You Deliver

The Team

Enterprise Services Compliance supports Enterprise Services, an innovation hub within Fidelity that collaborates with Fidelity's businesses to explore emerging technologies, enhance operational capabilities, and improve the customer experience. Enterprise Services Compliance is a critical compliance function that oversees the support of Green Pier Fintech LLC, a broker dealer within Fidelity Center for Applied Technology. Green Pier Fintech LLC looks to bring innovative technology to life that will enable Fidelity to target new markets and customer segments with a platform that exhibits four of Fidelity's main operating principles (next generation platforms, efficiency and reduction of unit costs, new sources of revenue, and high-quality customer experiences).

The base salary range for this position is $100,000-$169,000 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.

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 every other week (all business days, M-F) in a Fidelity office.

Certifications : Category :

Compliance

Salary : $100,000 - $169,000