Director, Regulatory Compliance

Fidelity Jersey City , NJ 07097

Posted 2 weeks ago

The Expertise We're Looking For

  • Bachelor's Degree required, JD or MBA or advanced business degree preferred

  • 10 years of financial services experience

  • Securities industry or regulatory experience preferred

  • Familiarity with Fidelity's organization and operations preferred

The Purpose of Your Role

As a Director in Regulatory Management, you will interact directly with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on matters involving sales and trading matters related to FCM. You will be part of a team responsible for responding to regulatory inquiries and managing regulatory examinations related to Fidelity Clearing & Custody Solutions and Fidelity Capital Markets, as well as related Operations & Services group functions, and Enterprise-wide policies and functions impacting FI.

The Skills You Bring

  • You have a comprehensive understanding of the brokerage business and compliance function.

  • You are able to draft responses to regulatory inquiries, certain disciplinary actions and exam findings.

  • You are able to partner with the legal department concerning litigation, regular investigations and regulatory filings.

  • You have strong written and oral communication skills and are able to communicate effectively with regulators as well as internal business partners.

  • You can succeed in a deadline-driven work environment.

  • You can coordinate with Compliance Advisors supporting Fidelity Capital Markets (FCM) trading desks and develop relationships with business partners across FCM.

  • You keep informed of all regulatory developments relating to FCM's business and regulatory environment.

  • You have a background in developing reporting for management relating to regulatory inquiries.

The Value You Deliver

  • Responding to complex regulatory inquiries accurately and in a timely manner.

  • Sharing knowledge of securities markets and associated regulations.

  • Product knowledge to include equities and fixed income sales and trading.

  • Conducting thorough research and collaborate with business partners, compliance peers, and Legal.

  • Identifying core regulatory and compliance issues in a trading environment.

  • Building relationships with colleagues and internal business partners.

  • Managing multiple priorities.

  • Strong written and oral communication skills.

How Your Work Impacts the Organization

As part of a team responding to regulatory matters, we work to effectively maintain relationships with regulators and work with integrity to protect Fidelity's reputation.

Company Overview

At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. For information about working at Fidelity, visit FidelityCareers.com

Fidelity Investments is an equal opportunity employer.


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Director, Regulatory Compliance

Fidelity