Director, Compliance

Job Description:

The Role

As a Director within the Fidelity Enterprise Services Compliance team, you will serve as a trusted business partner promoting a culture of commitment to compliance, regulatory and legal obligations. In this role, you will support Fidelity Labs, Fidelity Investments’ in-house startup incubator and other enterprise teams to build and maintain an enhanced compliance program. You will also work closely with the firms’ legal, risk, corporate affairs, and technology teams involved in supporting and strengthening Fidelity’s artificial intelligence and digital asset ecosystems.

You will:

• Closely collaborate with enterprise teams to ensure alignment between evolving business needs and the supporting compliance framework

• Monitor the regulatory environment, advise internal partners on emerging rules and requirements, and assess the applicability of new rules and regulations

• Research compliance matters and provide advice related to emerging technologies

• Expand and adapt your compliance knowledge at a rapid pace to support a growing range of fields across FinTech, RegTech, and other lines of business at the frontline of financial services technology

• Ensure business awareness and alignment with corporate policies and develop supplemental guidelines that contribute to a flexible compliance framework

• Support the development, implementation and maintenance of business specific compliance roadmaps

The Expertise and Skills You Bring

For this role your ability to master complex subject matters quickly, collaborate effectively, and problem solve with a risk-oriented mindset will be more important than in-depth experience in specific areas of compliance. Teamwork is not a slogan for us: it’s our daily experience and at the core of everything we do. The expertise and skills you bring will include most or all of the following:

• Bachelor’s degree or equivalent, and at least 8 years of experience with a preference for a background in compliance, risk, and/or regulatory practice

• Familiarity with SEC, FINRA, FTC, CFTC and/or state level rules & regulation

• Experience in researching and interpreting legal regulations and guidance

• An understanding of global compliance programs, including compliance policies and procedures, control frameworks, and risk assessments

• Experience supporting software-as-a-service businesses and experience with data protection, digital asset, and AI related laws and regulations

• Intellectual curiosity, passion for learning, and the ability to collaborate with teams focused on advanced data-science based technologies

• Willingness to adapt to new systems and help maintain compliant practices in a rapidly evolving business environment

• Ability to build relationships with decision makers and senior leaders across the organization

• Outstanding analytical, organizational, communication, and problem-solving skills

• Proven experience leading effective meetings to create positive outcomes

• Ability to lead multiple projects while also contributing individual work

The Team

This team reports to the Chief Compliance Officer for Fidelity Enterprise Services, a portfolio of agile, standalone organizations, which drive innovation with the purpose of collaborating with Fidelity’s businesses to develop new sources of revenue, explore emerging technologies, enhance operational capabilities, and improving the customer experience. The Enterprise Services portfolio also includes the Fidelity Center for Applied Technology, Advanced Technologies for Investment Management, Soteria and other teams.

Certifications:

Category:

Compliance

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

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.