Fidelity Investments-posted 10 days ago
$118,000 - $226,000/Yr
Full-time • Executive
Hybrid • Covington, KY
5,001-10,000 employees
Securities, Commodity Contracts, and Other Financial Investments and Related Activities

Fidelity is seeking an executive to join FCC's senior leadership team as the Head of Financial Crimes Investigations (FCI). The Head of FCI will report directly to the Head of the Financial Crimes Intelligence Unit and will be the accountable executive responsible for the operating design and implementation of controls designed to investigate potentially suspicious activity transaction monitoring alerts and internal/external escalations, and the filing of suspicious activity reports (SARs). The Head of FCI will oversee the execution and disposition of all financial crimes related investigations and will lead and provide direction to a team dispersed across multiple Fidelity sites. The Head of FCI should be an innovative and strategic executive leader who is forward-thinking and capable of driving Fidelity's FCC program toward sustainable future success. The ideal candidate will possess strong compliance, risk management, process and operational acumen with the ability to implement an environment of continuous program improvement in a fast-paced, highly regulated environment. This leader should also display the ability to anticipate business and market trends and utilize this information to develop long-term strategies that align with Fidelity's risk profile, vision and goals. Regulatory Compliance - Implement and lead all aspects of the financial crimes investigations and SAR filing function program across Fidelity legal entities, proactively engaging with business leaders, internal stakeholders and regulatory agencies Talent - Build and encourage an impactful team by evaluating, hiring and nurturing talent across a team of compliance and investigation professionals while developing needed skills and crafting a culture of inclusion. Executive-Level Communication: Communicating with credibility and influence to build consensus and galvanize leaders to action by delivering clear, concise, and compelling messages Metrics, Dashboards, Reporting - Focus on development, improvement and ongoing maintenance of key performance indicator (KPI) metrics, and oversight the production of regular reporting that provides insight to program health and operational efficacy to senior management, the FCI team and other internal stakeholders Develop reporting, metrics and dashboards that constantly monitor adherence to service-level agreements (SLAs) designed to provide insight to program health at any point in time Assists with internal and external audit and regulatory engagements, including timely issue follow-up/remediation Partner with business leaders to promote a collaborative environment that helps the business meet its goals while ensuring compliance is always maintained Ability to deftly balance risk management with business unit goals Provide senior management, various committees, and governance councils with updates on the status of the FCI Program Ability to work and learn quickly in a fast-paced, dynamic environment in the midst of constant competing priorities Passionate about providing an unparalleled level of service to Fidelity business units and internal partners

  • Implement and lead all aspects of the financial crimes investigations and SAR filing function program across Fidelity legal entities, proactively engaging with business leaders, internal stakeholders and regulatory agencies
  • Build and encourage an impactful team by evaluating, hiring and nurturing talent across a team of compliance and investigation professionals while developing needed skills and crafting a culture of inclusion.
  • Communicating with credibility and influence to build consensus and galvanize leaders to action by delivering clear, concise, and compelling messages
  • Focus on development, improvement and ongoing maintenance of key performance indicator (KPI) metrics, and oversight the production of regular reporting that provides insight to program health and operational efficacy to senior management, the FCI team and other internal stakeholders
  • Develop reporting, metrics and dashboards that constantly monitor adherence to service-level agreements (SLAs) designed to provide insight to program health at any point in time
  • Assists with internal and external audit and regulatory engagements, including timely issue follow-up/remediation
  • Partner with business leaders to promote a collaborative environment that helps the business meet its goals while ensuring compliance is always maintained
  • Ability to deftly balance risk management with business unit goals
  • Provide senior management, various committees, and governance councils with updates on the status of the FCI Program
  • Ability to work and learn quickly in a fast-paced, dynamic environment in the midst of constant competing priorities
  • Passionate about providing an unparalleled level of service to Fidelity business units and internal partners
  • Deep securities industry knowledge with a comprehensive understanding of BSA/AML, Global Sanctions and Global Anti-Bribery and Corruption applicable laws and regulations
  • 10+ years of BSA/AML financial crimes compliance or comparable experience at a large financial institution, major consulting firm, regulatory agency, law enforcement, or a combination thereof
  • Experience in a senior financial crimes compliance role in the securities and/or asset management industry, with demonstrated ability to operate across diverse business units, innovative product sets, and a broad array of customer segments
  • Tech-savvy with proficiency in financial crimes compliance technologies, processes and workflows
  • Experience interacting and fostering productive relationships with regulatory agencies such as the SEC, FINRA, FinCEN and NYFDS
  • Executive level presence and communication skills to effectively consult with and influence firm leadership on prudent courses of action
  • Proven track record of attracting, developing and inspiring successful teams and managing financial industry compliance operational functions designed for strict, ongoing compliance adherence
  • Collaborates through a proactive/constructive dialogue with senior management, peer leaders, committees, and regulators
  • Strong leadership skills that embody Fidelity's Leadership Principles
  • Exceptional relationship management skills
  • Proven ability to effectively communicate complex business strategies to senior management, with experience in crafting compelling presentations for C-suite audiences
  • Ability to navigate sensitive situations and deliver messages with tact and diplomacy
  • Independent problem solver; accountable for, and skilled in, exercising sound judgment
  • High degree of integrity and strong work ethic; decisive with orientation toward results; positive demeanor
  • Ability to effectively and simultaneously identify, prioritize and address multiple issues and quickly respond to competing priorities and shifts in priorities
  • Certified Anti-Money Laundering Specialist (ACAMS)/Certified Fraud Examiner (CFE)/Certified AML and Fraud Professional (CAFP) is a plus
  • Active Series 7 and Series 24 securities licenses is a plus
  • 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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