Director, Compliance

Job Description:

As a Director within the Fidelity Enterprise Services Compliance team, you will provide regulatory support primarily to Fidelity Labs, Fidelity’s in-house fintech incubator with a mission to build new businesses to drive growth for Fidelity. You will be responsible for identifying, assessing, and building controls for regulatory risks related to start-ups launched by Labs. You will serve as a compliance expert and trusted adviser for Labs, promoting a culture of compliance while relentlessly problem solving to move Fidelity forward. The current start-up portfolio includes businesses focused on Fintech SaaS, digital assets, AI for investing, digital platforms for foundations, venture capital and private equity, and a digital transfer agent.

This role will also provide compliance advice on broader Enterprise Services initiatives and requires constant engagement with the broader Fidelity Compliance, Legal, Risk and Technology teams.

You will:

• Establish Technology Compliance standards aligned with Fidelity Labs’ New Venture model and represent the team on Technology Compliance initiatives
• Play a pivotal role in enhancing Fidelity Labs’ AI and Data Governance framework
• Closely collaborate with Fidelity Labs teams to ensure alignment between evolving business needs and the supporting compliance framework
• Monitor the regulatory environment and assess the applicability of emerging rules and regulations
• Research compliance matters and provide advice related to emerging technologies

The Expertise and Skills You Bring

• Experience supporting software-as-a-service businesses and experience with data protection, digital asset, and AI related laws and regulations
• Familiarity with or interest in learning about SEC, FINRA, FTC, CFTC and/or state level rules & regulation
• Bachelor’s degree or equivalent, and 5+ years of experience or equivalent with a preference for a background in financial services, data analytics and AI
• An understanding of global compliance programs, including compliance policies and procedures, control frameworks, and risk assessments
• Intellectual curiosity, passion for learning, and the ability to collaborate with teams focused on advanced data-science based technologies
• Ability to build relationships with decision makers and senior leaders across the organization
• Outstanding analytical, organizational, communication, and problem-solving skills
• Ability to lead multiple projects while also contributing individual work

Note: Fidelity is not providing immigration sponsorship for this position

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. We are a highly collaborative and energetic team on a mission to prove that innovation and compliance are not oxymorons!

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.