Compliance Director at Fidelity Investments

Merrimack, New Hampshire, United States

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

NoVisa

Financial Services, BrokerageIndustries

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
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
Proficient in Microsoft Excel
Ability to partner with the legal department concerning litigation, regulatory investigations and regulatory filings
Effective when communicating with regulators and internal business partners
Thrive in a deadline driven, fast-paced environment
Able 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
Conduct detailed research and collaborate 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
Determining whether to raise issues to management, the Firm’s legal department, or other business partners

Skills

Regulatory Compliance

Securities Regulations

SEC

FINRA

Equities Trading

Fixed Income

Microsoft Excel

Regulatory Inquiries

Regulatory Examinations

Risk Assessment

Legal Collaboration

Fidelity Investments

Investment management and financial services provider

About Fidelity Investments

Fidelity Investments offers a range of financial services and tools designed to help individuals manage their investments and stay informed about the markets. Their products include mobile applications and market monitoring tools that provide users with real-time market quotes, news, and trading capabilities. For example, the Fidelity Market Monitor for Glass delivers daily market quotes directly to Google Glass, while the Fidelity app for Windows Phone 8 allows users to access news and trading tools on their mobile devices. Additionally, features like the Watch List Visualization for iPad help users track stock price changes over time using a heatmap. What sets Fidelity apart from its competitors is its focus on integrating new technologies and user-friendly interfaces to enhance the investment experience. The goal of Fidelity Investments is to empower individuals with the information and tools they need to make informed financial decisions.

Boston, MassachusettsHeadquarters

1946Year Founded

$120,238.8MTotal Funding

DEBT_FINANCINGCompany Stage

Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Health Insurance

Mental Health Support

Hybrid Work Options

401(k) Retirement Plan

401(k) Company Match

Unlimited Paid Time Off

Parental Leave

Student Loan Assistance

Tuition Reimbursement

Risks

Loss of key personnel like Gita Bal may impact Fidelity's research capabilities.

Increased competition from Vanguard's new division could draw clients away from Fidelity.

Potential reputational risk from Bitcoin ETF outflows could affect Fidelity's offerings.

Differentiation

Fidelity Labs offers innovative beta products like Market Monitor for Google Glass.

Fidelity's mobile solutions are available on multiple platforms, including Windows Phone and iPad.

Fidelity's Open Limit Order Visualization provides unique insights into order execution proximity.

Upsides

Increased adoption of wearable tech could boost Fidelity's mobile solutions.

Growing interest in Bitcoin ETFs suggests expansion in Fidelity's digital asset offerings.

Rise of AI could benefit Fidelity's data analytics and AI-driven investment strategies.

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