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 benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.

Note, the application window closes when the position is filled or unposted.

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others.

Those laws and regulations may restrict Fidelity from hiring and / or associating with individuals with certain Criminal Histories.

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 every other week (all business days, M-F) in a Fidelity office.

Certifications : Company Overview

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 Glassdoor Employees’ Choice Award , we have been recognized by our employees as a top 10 Best Place to Work in 2024.

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.

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, detailed in this document , and may be asked to provide additional documentation as requested.

This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent).

These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances : Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

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 Accommodation Team by sending an email to [email protected] .

We welcome those with experience in jobs such as Bookkeeper, Accounts Receivable Clerk, and Billing, Cost, and Rate Clerk and others in the Accounting and Finance to apply.