Compliance Director

Job Description: Compliance Director, Enterprise Services The Role As a member of the Enterprise Services Compliance team , you will serve as a Compliance Director supporting Green Pier FinTech LLC, Fidelity's newest clearing Broker Dealer. In this role, you will demonstrate your compliance expertise by designing a compliance program, proactively raising, and addressing regulatory issues and ensuring that regulatory requirements are met for the broker dealer's various businesses and products. You will promote ethical conduct and reinforce a dedication to compliance and regulatory obligations. This role will include a blend of at-home and in-office work. Learn more about how Fidelity has embraced Dynamic Working. The Expertise and Skills you bring 7+ years compliance and/or regulatory experience in the financial services/brokerage industry, registration and licensing experience is a plus 4-year college degree required Strong understanding of broker dealer compliance, the ability to spot potential regulatory issues and to collaborate to address these issues Capital markets/operations compliance experience a plus Excellent analytical, organizational, and decision-making skills An ability to Influence key decision makers through a combination of knowledge, reasoning, and relationships A desire to work across a small, adaptable, and growing business Experience working collaboratively across various teams, including Risk, Legal, Audit, and Operations An ability to identify, prioritize and address multiple issues simultaneously The Value You Deliver You will work with the business as point of contact for any compliance issues that arise within the Green Pier broker dealer You will draft and review Written Supervisory Procedures in collaboration with the business You will identify and raise matters to senior management within Green Pier and the Green Pier CCO You will encourage a culture of diversity, inclusion, ownership, and empowerment The Team Enterprise Services Compliance supports Enterprise Services, a portfolio of agile, standalone organizations, that drive innovation, with the purpose of collaborating with Fidelity's businesses to develop new sources of revenue, explore emerging technologies, enhance operational capabilities, and improve the customer experience. The Enterprise Services portfolio includes Fidelity Labs, the  Fidelity Center for Applied Technology (FCAT) ,  Fidelity Digital Assets SM,  F-Prime Capital, and Impresa Management LLC. Enterprise Services Compliance is a critical compliance function that handles the support of Green Pier Fintech LLC, a broker dealer within FCAT. Green Pier Fintech LLC looks to bring new technology to life that will enable Fidelity to target new markets and customer segments with a platform that exhibits four of Fidelity's main operating principles (next generation platforms, efficiency and reduction of unit costs, new sources of revenue, and high-quality customer experiences). The base salary range for this position is $100,000-$169,000 per year.   Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors. Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.    We offer a wide range of Certifications: Company Overview Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money. Join Us At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office. At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry . Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging. Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to . We welcome those with experience in jobs such as Senior Accountant, Accounting Assistant, and Bookkeeper and others in the Accounting and Finance to apply.

Created: 2024-11-04