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 preferred10+ years of financial services experienceSecurities industry or regulatory experience preferredProduct knowledge to include operations, equities and fixed income sales and tradingYour 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 findingsYou are proficient in Microsoft ExcelYou are able to partner with the legal department concerning litigation, regulatory investigations and regulatory filingsYou are effective when communicating with regulators and internal business partnersYou thrive in a deadline driven, fast-paced environmentYou are able to identity, analyze and resolve problems.

　　The Value You Deliver

　　Responding to regulatory inquiries accurately and in a timely mannerIndependently leading regulatory examinations in person or remotely.Drafting timely, detailed, and accurate written communications to industry regulators.Sharing knowledge of securities markets and associated regulationsConducting detailed research and collaborate with business partners, compliance peers, and LegalIdentifying core regulatory and compliance issues in a trading environmentEvaluating 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.

　　#ComplianceJobs

　　The base salary range for this position is $100,000-$169,000 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.

　　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 Best Place to Work in 2023. 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.

　　At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling "Dynamic Working". Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, 5 consecutive days, every four weeks. These requirements are subject to change.

　　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 accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 3.

　　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.