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
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).
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.
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 Glassdoor Employees’ Choice Award, we have been recognized by our employees as a Best Place to Work in 2022. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you’ve always imagined.
As a result of COVID-19, many of our associates are continuing to work remotely. When Fidelity employees eventually return to the office, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we’re calling “Dynamic Working.”
We invite you to Find Your Fidelity at fidelitycareers.com.
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 Leave of Absence/Accommodation Team by sending an email to accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 3.