Compliance Director

Fidelity Investments - Westlake, TX 76262 APPLY TO THIS JOB
JOB DESCRIPTION

Compliance Director

You would support a dynamic environment collaborating with Legal, Business, Products, Service, and Technology groups to align Fidelity Institutional product and service offerings and practices with regulatory requirements, guidelines, and expectations.

The Expertise We’re Looking For
At least ten years of financial services experience
Strong knowledge and understanding of financial services industry, the market participants, products and services provided, and end to end understanding of investment transactions
Experience in understanding and implementing processes, controls, and / or supervision or compliance activities relating to new / changed financial services regulations – specifically those of the SEC (Securities Exchange Act of 1934 and / or the Investment Advisers Act of 1940) and / or FINRA
Experience in implementing processes, controls, governance, and / or supervision / compliance activities for new / changing business models, services/products, and / or technologies

Desired:

Experience in implementing supervision and /or compliance activities in dually registered Broker Dealers and Investment Advisors

Experience with investment tools / platforms for Broker Dealers and Investment Advisors

The Purpose of Your Role

You will support Fidelity Institutional by providing sound compliance advice and leadership, anticipating regulatory matters, designing / enhancing effective supervisory and compliance programs and controls, implementing new rules.

Your guidance on the regulatory requirements and how to practically implement those requirements specific into processes, controls, and supervision activities will help strengthen the Fidelity Institutional control environment.

You will help enable Fidelity Institutional growth by collaborating with dedicated professionals and provide guidance associated with applicable regulatory requirements and / or expectations for developing new products, services, solutions, and tools for our clients.

The Skills You Bring
Regulatory experience and insight
Analytical approach and thinking
Ability to quickly grasp complex concepts and present them in a way an inexperience person could understand
Ability to engage proactively and work in large team settings
Self-initiating and solutions oriented
Sound judgment and discretion
Effective written and verbal communication skills. This role requires planning and writing supervisory procedures and training programs

Organized and self-motivated working style including ability to work on own initiatives;

The Value You Deliver
Anticipating regulatory focus and helping Fidelity preparedness
Providing regulatory guidance in support of development of innovative solutions, tools, and approaches for financial intermediaries and their customers
Participating in compliance driven initiatives to assess functions, regulations, processes
Protecting Fidelity’s reputation, brand, and integrity while empowering business evolution.
Identifying areas that need compliance engagement, and understanding
Collaborating with and providing guidance to business partners regarding design and enhancements to processes, controls, supervision activities mitigating regulatory risks
Influencing and shaping change in practices for the broader organizational success
Interacting with regulators, examiners, and auditors as necessary

How Your Work Impacts the Organization

The FI Compliance organization is responsible for providing regulatory / compliance advice, designing supervisory frameworks and programs, and implementing effective oversight and support program that assists Fidelity Institutional with its’ mission of providing financial intermediaries with solutions and tools for their associates and customers while helping mitigate regulatory risks for Fidelity. Fidelity Institutional provides sophisticated offerings and solutions to broker-dealers, banks, registered investment advisers, family offices, capital markets, trust services, and retail segments.

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.

Job: Compliance

Primary Location: US-RI-Smithfield

Other Locations: US-MA-Boston, US-TX-Westlake

Schedule: Full-time

Job Level: Director

Education Level: Bachelor's Degree (±16 years)

Job Type: Standard
:

Overtime Status: Exempt

Travel: No

Westlake, Texas
Westlake, TX



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COMPANY NAME
Fidelity Investments

PRIMARY LOCATION
Westlake, Texas 76262

DATE POSTED
7/11/2018 4:26:39 AM

JOB CODE
1806564

CAREER AREA
Compliance

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