Job Description:
Chief Compliance Officer, Green Pier Fintech
The Role
The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic guidance on regulatory and compliance matters. The CCO will develop, implement, and oversee all aspects of Green Pier’s broker-dealer compliance program.
This role serves as a strategic partner to the business, aligning compliance frameworks with commercial objectives to enable responsible growth and innovation.
The CCO will liaise with federal and state regulators, manage regulatory exami
nations, and oversee comprehensive compliance reporting to senior management. The role also includes leading and mentoring a team of compliance professionals.
This role reports to the Chief Compliance Officer for Enterprise Services.
The Expertise and Skills You Bring
Bachelor’s degree required; advanced degree preferred.
10 years of broker-dealer legal and/or compliance experience.
Prior experience as a CCO or senior compliance leader strongly preferred.
Demonstrated strategic thinking, sound judgment, and executive presence, with the ability to influence and collaborate across a large organization.
Experience operating effectively in high-growth, rapidly evolving environments.
Exceptional writing and communication skills, with the ability to distill complex concepts for senior audiences.
Deep knowledge of SEC and FINRA rules and broker-dealer operations.
High ethical standards and integrity.
FINRA Series 7 and Series 24 required (or ability to obtain shortly after hire).
Act as a strategic partner to senior leadership, integrating regulatory strategy into business initiatives to support scalable, compliant product and platform development.
Promote a strong culture of compliance and ethical conduct across the broker-dealer while developing, implementing, and maintaining a comprehensive compliance program aligned with SEC, FINRA, and applicable state regulations.
Provide leadership with actionable regulatory insight to inform product design, business strategy, and risk management decisions.
Proactively identify and assess regulatory risks, ensuring policies and controls evolve in line with regulatory developments and business practices.
Advise senior management on regulatory changes and their impact, and collaborate closely with Legal, Risk, and Audit functions.
Lead regulatory examinations and inquiries and build strong, transparent relationships with regulators.
Note: Fidelity is not providing immigration sponsorship for this position
The Team
Green Pier Fintech (Green Pier) is Fidelity’s newest registered broker-dealer, operating within Fidelity’s innovation ecosystem. Green Pier was established by FCAT to test and scale new digital brokerage experiences using modern, purpose-built technology.
The base salary range for this position is $125,000-258,000 USD 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.
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 consult with your recruiter for the specific expectations for this position.
Certifications:
Series 07 - FINRA, Series 24 - FINRACategory:
ComplianceApply
All fields are required.
Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
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 associates for their unique perspectives and experience.
Reasonable accommodations
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 accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
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.
Hybrid work schedule
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 all business days of every other week in a Fidelity office.
Applicant screening
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 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.