Compliance Manager, eComm Surveillance

Fidelity Investments•Covington, KY

About The Position

The Compliance Manager leads the eComm Surveillance team, which is part of Fidelity’s broader Digital Compliance team. The role oversees the initial review of Fidelity associates’ electronic communications and ensures surveillance systems and team members appropriately identify and escalate potential violations of Compliance and Human Resources policies. The manager provides day-to-day oversight, feedback, and development support to Compliance associates; works with the team to resolve or escalate issues; and communicates issue status to management. The role also identifies areas of risk, contributes to policies and procedures, evaluates monitoring systems and controls, and partners with management and technology teams on system enhancements and business requirements. The position reviews a high volume of communications flagged by surveillance tools, researches their meaning and context using internet resources and commercial media and financial databases, and escalates findings to management. It requires maintaining knowledge of relevant policies and participating in training and discussions about how those policies apply. The eComm Surveillance team supports Fidelity’s Electronic Communications policy and related regulations, onboarding and retention of electronic communications tools and channels, and surveillance activities. The broader Digital Compliance team works on regulatory readiness across Privacy, Records Management, Social Media and eCommunications Compliance, Technology Resiliency, and Data Management.

Requirements

At least 5 years of electronic communications, compliance, legal, risk, investigative, audit, or operations experience, or comparable experience.
Demonstrated leadership and mentoring skills.
Experience working across various levels of leadership.
Strong analytical, investigative, and creative thinking skills.
Ability to work in a fast-paced environment and multitask.
Ability to manage and prioritize multiple priorities with strict deadlines.
Knowledge of and interest in the financial services industry.
Excellent proofreading skills and strong attention to detail.
Ability to present ideas and information clearly and effectively in verbal and written communications.
Ability to contribute to decision-making by offering solutions.
Ability to build trusting, transparent relationships with business partners across the organization.

Nice To Haves

Strong understanding of electronic communications regulations and their applicability to financial services firms.
Familiarity with computer systems and applications used for investigative and research work, including commercial research databases.

Responsibilities

Provide day-to-day oversight of a group of Compliance associates.
Provide input and feedback to associates and leadership on team performance and development.
Work with associates to identify, resolve, or escalate issues promptly and effectively, and communicate issue status or resolution to management.
Develop recommendations and propose solutions to management concerning compliance trends and potential issues.
Identify areas of highest risk exposure and develop efficient, effective ways to minimize risk.
Participate in developing and implementing departmental policies and procedures to ensure monitoring is conducted effectively and in a well-controlled environment.
Evaluate monitoring systems for efficiency and controls.
Work with management and technology partners to identify and prioritize system enhancements.
Provide business requirements for systems initiatives intended to improve operating efficiency and monitoring capabilities.
Help develop, implement, and maintain communication and reporting programs that promote awareness and reduce the likelihood of issues.
Review a high volume of electronic communications flagged as potential violations through the surveillance tool.
Clearly communicate and escalate issues, questions, and statistics to management, in writing and verbally.
Research communications to understand their meaning and context, using internet resources and commercial media and financial information databases.
Maintain working knowledge of relevant Compliance and Human Resources policies and participate in related training and discussions.