Chief Compliance Officer, Green Pier
About The Position
The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic guidance on regulatory and compliance matters. The CCO will develop, implement, and oversee all aspects of Green Pier’s broker-dealer compliance program. This role serves as a strategic partner to the business, aligning compliance frameworks with commercial objectives to enable responsible growth and innovation. The CCO will liaise with federal and state regulators, manage regulatory exami nations, and oversee comprehensive compliance reporting to senior management. The role also includes leading and mentoring a team of compliance professionals. This role reports to the Chief Compliance Officer for Enterprise Services. Green Pier Fintech (Green Pier) is Fidelity’s newest registered broker-dealer, operating within Fidelity’s innovation ecosystem. Green Pier was established by FCAT to test and scale new digital brokerage experiences using modern, purpose-built technology.
Requirements
- Bachelor’s degree required; advanced degree preferred.
- 10 years of broker-dealer legal and/or compliance experience.
- Demonstrated strategic thinking, sound judgment, and executive presence, with the ability to influence and collaborate across a large organization.
- Experience operating effectively in high-growth, rapidly evolving environments.
- Exceptional writing and communication skills, with the ability to distill complex concepts for senior audiences.
- Deep knowledge of SEC and FINRA rules and broker-dealer operations.
- High ethical standards and integrity.
- FINRA Series 7 and Series 24 required (or ability to obtain shortly after hire).
Nice To Haves
- Prior experience as a CCO or senior compliance leader strongly preferred.
Responsibilities
- Act as a strategic partner to senior leadership, integrating regulatory strategy into business initiatives to support scalable, compliant product and platform development.
- Promote a strong culture of compliance and ethical conduct across the broker-dealer while developing, implementing, and maintaining a comprehensive compliance program aligned with SEC, FINRA, and applicable state regulations.
- Provide leadership with actionable regulatory insight to inform product design, business strategy, and risk management decisions.
- Proactively identify and assess regulatory risks, ensuring policies and controls evolve in line with regulatory developments and business practices.
- Advise senior management on regulatory changes and their impact, and collaborate closely with Legal, Risk, and Audit functions.
- Lead regulatory examinations and inquiries and build strong, transparent relationships with regulators.
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
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What This Job Offers
Job Type
Full-time
Career Level
Executive
Number of Employees
101-250 employees
