What are the responsibilities and job description for the Director, Compliance - Ethics/Political Contributions position at Fidelity Investments?
Job Description
The Role
The FBS Ethics Compliance Director is responsible for ethics’ related matters impacting the FBS Broker-Dealer within Wealth & Brokerage, WI and TEM Business Units. Ethics related topics include gifting and business entertainment, meetings and events, sponsorships with business partners, political contributions and fundraising, Federal, State and Local pay to play rules including those impacting the College Savings plans and public entity retirement plans, Institutional and personal charitable contributions, outside business activities, conflicts of interest, procurement lobbying, and customer incentives and rewards programs.
The Expertise You Have
This position is a key compliance resource providing dedicated Ethics compliance support within Fidelity Wealth & Brokerage ('W&B') Compliance. W&B is the retail distribution arm of Fidelity Investments, building lifetime relationships with customers and helping them save and invest through individual accounts. W&B Compliance is a dedicated central function within W&B whose mission is to cultivate a culture of compliance, to identify and handle regulatory risk, protect Fidelity’s customers and reputation, and promote business and market integrity. The Ethics Compliance Director will be a key member of the W&B Compliance team responsible for ensuring that we meet our legal and regulatory obligations with a focus on maintaining the firm’s reputation for high ethical behavior.
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
The Role
The FBS Ethics Compliance Director is responsible for ethics’ related matters impacting the FBS Broker-Dealer within Wealth & Brokerage, WI and TEM Business Units. Ethics related topics include gifting and business entertainment, meetings and events, sponsorships with business partners, political contributions and fundraising, Federal, State and Local pay to play rules including those impacting the College Savings plans and public entity retirement plans, Institutional and personal charitable contributions, outside business activities, conflicts of interest, procurement lobbying, and customer incentives and rewards programs.
The Expertise You Have
- Extensive experience in compliance related fields including the areas indicated above; J.D. preferred.
- Experience in working with cross company compliance, legal, risk management and business teams.
- Experience working with senior managers/leaders across business and Legal, Risk, Compliance, and Audit groups.
- Excellent communication skills, with ability to present complex issues in easy to understand manner to various partners and senior leadership
- Demonstrated strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail
- Proven engaging teammate with good interpersonal skills and the ability to work collaboratively across functions while managing multiple priorities
- Ability to interpret complex laws, rules and regulations in the areas of Ethics Compliance indicated, and applying your understanding to resolve diverse and complex ethics’ related issues.
- Comfortable interpreting complex requirements and assessing program status to make recommendations.
This position is a key compliance resource providing dedicated Ethics compliance support within Fidelity Wealth & Brokerage ('W&B') Compliance. W&B is the retail distribution arm of Fidelity Investments, building lifetime relationships with customers and helping them save and invest through individual accounts. W&B Compliance is a dedicated central function within W&B whose mission is to cultivate a culture of compliance, to identify and handle regulatory risk, protect Fidelity’s customers and reputation, and promote business and market integrity. The Ethics Compliance Director will be a key member of the W&B Compliance team responsible for ensuring that we meet our legal and regulatory obligations with a focus on maintaining the firm’s reputation for high ethical behavior.
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
