Compliance Manager, eComm Surveillance

Fidelity•Covington, KY

About The Position

As Manager of the eComm Surveillance team and a member of the broader Digital Compliance team, this role leads associates responsible for the initial review of Fidelity associates’ electronic communications. The Manager learns, interprets, and reviews applicable Compliance and Human Resources policies to ensure surveillance systems and team members identify and appropriately escalate potential violations. The role oversees daily team operations, provides performance and development feedback, and works with associates and leadership to resolve or escalate issues. It also helps identify risk exposures, improve monitoring processes and systems, and develop recommendations concerning compliance trends and potential issues. The Manager reviews a high volume of electronic communications flagged by the surveillance tool, conducts research when needed, and communicates findings and status to management. Research may use internet resources and commercial databases covering media and financial information. The role requires maintaining working knowledge of relevant policies and participating in training and discussions about their application. The eComm Surveillance team provides guidance and support on Fidelity’s Electronic Communications policy and related regulations, assists with onboarding and retention of eCommunications tools and channels, and supports surveillance activities. The broader Digital Compliance team focuses on digital 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 abilities.
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 verbally and in writing.
Ability to contribute solutions to decision-making.
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 for investigative and research efforts, including commercial or research databases.

Responsibilities

Lead the eComm Surveillance team and oversee the day-to-day work of Compliance associates.
Provide associates and leadership with input and feedback on team performance and development.
Work with associates to identify, resolve, or timely escalate issues, and communicate issue status or resolution to management.
Develop recommendations and propose solutions to management concerning compliance trends and potential issues.
Proactively identify areas of highest risk exposure and develop efficient, effective risk-mitigation solutions.
Participate in developing and implementing departmental policies and procedures to support effective, controlled monitoring processes.
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 that improve operating efficiency and monitoring capabilities.
Help develop, implement, and maintain communications and reporting programs that promote awareness and reduce the likelihood of issues.
Review high volumes of electronic communications flagged by the surveillance tool as potential violations of Fidelity policies.
Escalate and clearly communicate issues, questions, and statistics to management in writing and verbally.
Research electronic communications to understand their nature or meaning, using internet resources and commercial media and financial information databases as needed.
Maintain working knowledge of relevant Compliance and Human Resources policies, reviewing policies and participating in group training and discussions.
Support guidance on the Electronic Communications policy and related regulations, onboarding and retention of eCommunications tools and channels, and surveillance activities.