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Director Compliance



Boston, MA, USA
Posted on Tuesday, April 30, 2024

Job Description:

The Team

As a Compliance Director in Regulatory Management, we will expect you to have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters involving sales and trading matters for our Capital Markets division. You will be responsible for responding to regulatory inquiries and handling examinations related to Clearing and Custody and Capital Markets. Other businesses you will support include Operations & Services group functions, and enterprise-wide policies and functions impacting FI. We work to optimally be a phenomenal partner with regulators and work with integrity to protect Fidelity’s reputation!

The Expertise and Skills You Bring

  • Bachelor’s Degree required, JD or MBA or advanced business degree preferred
  • 10+ years of financial services experience
  • Securities industry or regulatory experience preferred
  • Product knowledge to include operations, equities and fixed income sales and trading
  • Your comprehensive understanding of securities markets, the brokerage business and applicable securities rules and regulations.
  • You can draft responses to regulatory inquiries, certain disciplinary actions and exam findings
  • You are proficient in Microsoft Excel
  • You are able to partner with the legal department concerning litigation, regulatory investigations and regulatory filings
  • You are effective when communicating with regulators and internal business partners
  • You thrive in a deadline driven, fast-paced environment
  • You are able to identity, analyze and resolve problems.

The Value You Deliver

  • Responding to regulatory inquiries accurately and in a timely manner
  • Independently leading regulatory examinations in person or remotely.
  • Drafting timely, detailed, and accurate written communications to industry regulators.
  • Sharing knowledge of securities markets and associated regulations
  • Conducting detailed research and collaborate with business partners, compliance peers, and Legal
  • Identifying core regulatory and compliance issues in a trading environment
  • Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed and determining whether to raise to management, the Firm’s legal department, or other business partners.