CATEGORY: Compliance JOBS

Compliance Advisor- Brokerage Operations Jersey City, NJ

Specialty: Compliance
The Senior Compliance Advisor supports the Fidelity Institutional Operations and Client Experience groups in the mission of providing unparalleled service to Fidelity Institutional Clearing and Custody Clients by providing incisive compliance guidance and expertise. The Expertise We’re Looking For Account opening & maintenance and industry asset transfer programs knowledge and experience Sound
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Director, Compliance Boston, MA

Specialty: Compliance
The Compliance Director position is a senior role within Fidelity Brokerage Services (FBS)Compliance, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the FBS businesses, primarily for our “customer-facing” registered representatives and managers. The Expertise We’re Looking For Bachelor’s degree required, JD, MBA or advanced busine
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Director, Compliance Jersey City, NJ

Specialty: Compliance
The Compliance Director position is a senior role within Fidelity Brokerage Services (FBS)Compliance, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the FBS businesses, primarily for our “customer-facing” registered representatives and managers. The Expertise We’re Looking For Bachelor’s degree required, JD, MBA or advanced busine
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Director, Compliance New York, NY

Specialty: Compliance
The Compliance Director position is a senior role within Fidelity Brokerage Services (FBS)Compliance, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the FBS businesses, primarily for our “customer-facing” registered representatives and managers. The Expertise We’re Looking For Bachelor’s degree required, JD, MBA or advanced busine
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Director, Fixed Income Compliance Boston, MA

Specialty: Compliance
The Purpose of Your Role Fidelity Capital Markets (FCM) is the institutional trading arm of Fidelity Investments, executing equity, option, and fixed-income securities trades on behalf of institutional clients as well as many of Fidelity’s other businesses. The Fixed Income Compliance Director will be responsible for providing a broad range of direct advisory support to a number of fixed income d
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Senior Compliance Advisor, Regulatory Response Boston, MA

Specialty: Compliance
The Expertise We’re Looking For Bachelor’s Degree required, JD or MBA or advanced business degree preferred 5+ 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 Senior Compliance Advisor (SCA) in Regulatory Management, you will interact directly with the
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Senior Compliance Advisor, Regulatory Response Jersey City, NJ

Specialty: Compliance
The Expertise We’re Looking For Bachelor’s Degree required, JD or MBA or advanced business degree preferred 5+ 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 Senior Compliance Advisor (SCA) in Regulatory Management, you will interact directly with the
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