Job Description:

Senior Manager – Regulatory Inventory Compliance Program

The Regulatory Inventory Compliance Program Senior Manager will support certain key cross-enterprise compliance initiatives that primarily include the development and implementation of a regulatory rules inventory and the establishment of a regulatory change management program.

The Team

The Regulatory Inventory Compliance Program Senior Manager will be part of the Compliance Framework and Strategy team, reporting to the Director, Cross-Enterprise Compliance GRC Program Lead. The F&S team develops and leads activities designed to drive a consistent strategy around fundamental compliance program activities, including regulatory change management, regulatory exams/inquiries, compliance issue management, risk identification and assessment, and compliance reporting etc.

The Regulatory Inventory Compliance Program Senior Manager will be part of a team tasked with developing and administering an enterprise-wide rules inventory and regulatory change management process for Compliance to proactively identify and manage regulatory risk across the Firm.

Responsibilities are expected to include:

• Facilitating working sessions with Compliance teams to:

  • Analyze current state processes and identify gaps.

  • Define and gather business requirements.

  • Develop templates to collect and organize data/attributes.

  • Develop governance frameworks and processes, define roles and responsibilities.

  • Review rule obligations (rule summaries) and coordinate mapping/aligning to the appropriate business organizational hierarchy within the GRC tool; develop a risk-based approach to the mapping process.

  • Align and link mapped rules to other GRC applications such as controls, policies/procedures etc.

• Conducting data analytics to determine the scope of work.

• Coordinating, organizing, and prioritizing the key phases of work and schedule/timeline across multiple teams and workstreams, ensuring that the project stays on track.

• Assisting with developing minimum program standards, policies, and procedures to provide guidance on the Regulatory Inventory and Change management program.

• Working with Risk and Technology teams to define functional system requirements based on Compliance’s business requirements, and design and build an intuitive, multi-layered data framework for maintaining a scalable regulatory inventory.

• Developing training, job aids and other communications to socialize and educate teams.

• Developing streamlined, aggregated reporting that enables trending and analytics regarding adherence to regulatory obligations.

The Expertise You Have

• Bachelor’s degree required.

• Experience developing, implementing and/or managing regulatory requirements or rule sets/inventories and regulatory change management compliance programs across large, complex financial services organizations subject to multiple regulatory frameworks is strongly preferred.

• Strong problem-solving, writing, and analytical skills, and attention to detail

• Excellent communication skills, including creating comprehensive, meaningful PowerPoint presentations, able to take large volumes of data and/or complex information and structure/present it in a way that is easy to understand.

• Demonstrated leadership or project management experience.

• Strong time management skills: ability to manage multiple projects concurrently and meet deadlines.

• Effective relationship building and influencing skills.

• Background in securities compliance preferred, including knowledge of SEC and FINRA rules applicable to broker-dealers and registered investment advisors.

• Experience in an enterprise compliance role in the securities and/or asset management industry, with ability to operate across diverse business units, innovative product sets and a broad array of customer segments, is preferred.

• 7+ years of related work experience in Project Management, Risk, Compliance and/or at a major consulting firm is preferred.

The Skills You Bring

• Dynamic, strategic problem solver who drives innovative regulatory and technology solutions.

• Innovative thinker who has strong analytical, organizational, and creative critical thinking skills

• Excellent communicator with strong written and verbal communication skills

• Can influence key decision makers through a combination of knowledge, reasoning, and fostered relationships, and knows when and how to escalate problems.

• Supports and fosters a strong culture of risk management.

• Experience working collaboratively across a large organization.

• Encourage a culture of diversity, inclusion, ownership, and empowerment.

The Value You Deliver

Drive stronger and more efficient Regulatory Compliance capabilities by helping to build solutions and tools that enable automated rule traceability and tracking, and efficient regulatory change management.

Support efforts to leverage Technology and Data Analytics to enhance efficiency in the execution of compliance program activities including automated tracking of rule changes or monitoring the effectiveness of controls.

Focus on building and improving Communication & Metrics by leveraging automated tools, dashboards, and on-demand reporting to provide data on areas or levels of regulatory risk, analytics on new or changing regulations etc.

Assume ownership and accountability and understand the prioritization of tasks and milestones on initiatives, programs, and projects; ensure that deadlines are not missed.

Company Overview

At Fidelity, we are focused on 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 associates for their unique perspectives and experiences. For information about working at Fidelity, visit Fidelitycareers.com.

Fidelity Investments is an equal opportunity employer.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

The base salary range for this position is $81,000-$137,000 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.

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