Head of Financial Crimes Investigations

Fidelity Investments • Merrimack, NH

299d • $123,000 - $207,000 • Hybrid

About The Position

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 Financial Crimes / Chief AML Officer 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 escalations, and the filing of suspicious activity reports (SARs). The Head of FCI will oversight 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.

Requirements

• Deep securities industry knowledge with a comprehensive understanding of BSA/AML, Global Sanctions and Global Anti-Bribery and Corruption laws and regulations.
• 12+ 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.
• 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.
• Bachelor's degree in Finance, Business, Law, or a related field is a plus.
• 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 are a plus.
• Executive level presence and impeccable communication skills.
• Proven track record of attracting, developing and inspiring successful teams.

Nice To Haves

• 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.

Responsibilities

• Implement and lead all aspects of the financial crimes investigations and SAR filing function program across Fidelity legal entities.
• Build and encourage an impactful team by evaluating, hiring and nurturing talent across a team of compliance and investigation professionals.
• Communicate with credibility and influence to build consensus and galvanize leaders to action.
• Drive continuous improvement of the FCI operating model that includes end-to-end investigative capability.
• Develop and execute an FCI location strategy that fosters effective oversight & management of existing staff.
• Drive development, improvement and ongoing maintenance of key performance indicator (KPI) metrics.
• Utilize analytics and real-time reporting to monitor adherence to service-level agreements (SLAs).
• Assist with internal and external audit and regulatory engagements.
• Partner with business leaders to promote a collaborative environment.
• Provide senior management, various committees, and governance councils with updates on the status of the FCI Program.

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.

What This Job Offers

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