DIRECTOR, COMPLIANCE
Fidelity Investments
Boston MA 02210 US
Job Description:
The Role
As a Director within the Fidelity Enterprise Services Compliance team, you will serve as an informed and trusted business partner who promotes a culture of ethical conduct and commitment to compliance, regulatory and legal obligations. In this role, you will primarily support Fidelity Labs, Fidelity Investments’ in-house software incubator. You will be an engaged partner enabling the rapid growth of Labs’ portfolio of startups while helping manage compliance risks and building a responsive compliance program. You will also closely collaborate with a broad range of partners across the firms’ legal, risk, corporate affairs, and technology teams involved in building and strengthening Fidelity’s artificial intelligence ecosystem.
You will:
- Closely collaborate with Labs 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
- Support the development, implementation and maintenance of new Compliance Programs as warranted by expanding business activities
- Develop policies and procedures that contribute to a flexible compliance framework
- Oversee the Labs records management and external communications compliance programs
- Research compliance matters and provide advice related to emerging technologies
The Expertise and Skills You Bring
- 8+ years of compliance, risk or similar experience
- 4-year degree required, Masters Degree, JD or equivalent is a plus
- Familiarity with FINRA, SEC, FTC, CFTC rules & regulation is strongly preferred but not required
- Experience in researching and interpreting legal regulations and guidance
- Experience supporting software-as-a-service businesses and experience with data protection laws and regulations in the United States and beyond.
- Ability to work and flourish in a fast-moving start-up operating in an uncharted regulatory environment
- Intellectual curiosity, passion for learning, and 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
- Familiarity with or keen interest in learning about artificial intelligence concepts and related regulations
- Strong written and oral communication skills
- Ability to engage, build relationships and influence partners across the organization
- Outstanding analytical, organizational, and problem-solving skills
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, Fidelity Digital Assets, Advanced Technologies for Investment Management, Soteira and other teams.
Company Overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want! We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associate for their unique perspectives and experiences. For information about working at Fidelity, visit FidelityCareers.com. Fidelity Investments is an equal opportunity employer.
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process. Please email us at [email protected] or call 800-835-5099, prompt 2, option 2 if you would like to request an accommodation.
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 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 working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).
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].
