Compliance Director

Fidelity Investments • Merrimack, NH

117d • $103,000 - $174,000

About The Position

As a Compliance Director in Regulatory Management, you will have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters involving sales, regulatory reporting, and trading matters. You will be responsible for responding to regulatory inquiries and handling examinations related to Clearing, Custody, and Capital Markets. Other businesses you will support include Operations & Services group functions and enterprise-wide policies and functions impacting FI. We work to optimally be a phenomenal partner with regulators and work with integrity to protect Fidelity's reputation!

Requirements

• Bachelor's Degree required, JD or MBA or advanced business degree preferred
• 10+ years of financial services experience
• Securities industry or regulatory experience preferred
• Product knowledge to include operations, equities and fixed income sales and trading

Nice To Haves

• Comprehensive understanding of securities markets, the brokerage business and applicable securities rules and regulations
• Ability to draft responses to regulatory inquiries, certain disciplinary actions and exam findings
• Proficiency in Microsoft Excel
• Ability to partner with the legal department concerning litigation, regulatory investigations and regulatory filings
• Effective communication with regulators and internal business partners
• Ability to thrive in a deadline driven, fast-paced environment
• Ability to independently identify, analyze and resolve problems

Responsibilities

• Independently responding to regulatory inquiries accurately and in a timely manner
• Leading regulatory examinations in person or remotely
• Drafting timely, detailed, and accurate written communications to industry regulators
• Sharing knowledge of securities markets and associated regulations
• Conducting detailed research and collaborating with business partners, compliance peers, and Legal
• Identifying core regulatory and compliance issues in a trading environment
• Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed, and determining whether to raise to management, the Firm's legal department, or other business partners

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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree