SVP, PI Compliance


: $151,845.00 - $151,845.00 /year *

Employment Type

: Full-Time


: Legal

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FBS is looking for a proven compliance leader with broker/dealer distributionand wealth management experience, and preferably regulatory experience toassist in the enhancement of FBS? compliance program. The individual willbe responsible for providing compliance leadership and counsel on regulatoryand compliance requirements related to the FBS business and must demonstratesuperior work ethic, relationship management skills, and leadershipcapabilities and a commitment to Fidelity?s values and high quality assurancestandards.

The Expertise We?re Looking For

  • JD or advanced businessdegree preferred

  • 12-15+ years ofCompliance, Risk, and/or regulatory experience in the financial servicesindustry

  • 10+ years of broker/dealercompliance, risk or regulatory experience

  • Strong knowledge ofFINRA, and SEC regulations applicable to broker/dealers

  • Experience operating in a dual BD/IA registrant a plus

  • The Purpose of YourRole

    You will be part of a team responsible for the execution of acomprehensive compliance program, including procedures to implement compliancewith federal and state laws, regulations, and internally developed policies andprocedures.You will understand, andhave the ability to quickly adapt to, changes in organizational structure,technology, processes, products, and services and will have the ability toeffectively collaborate with business and control function partners, such ascompliance, legal, risk and audit.

    The Skills You Bring

  • You are a strong self-starter,relationship builder, and strategic thinker

  • You have an advancedability to understand and analyze complex financial, legal, operational andregulatory requirements

  • You work well in amatrixed environment

  • You have advancedpresentation skills and are able to effectively communicate; you are skilled atinteractions with employees at all levels, including senior executives

  • You can operatecollaboratively in fast-moving and changing environment

  • You are able toinfluence key decision makers through a combination of knowledge, reasoning,and relationships

  • You are an astutefacilitator capable of commanding respect and gaining consensus

  • You can succeed in a deadline-drivenwork environment

    The Value You Deliver

  • Your role will focus on broker/dealercompliance responsibilities and product distribution advice and guidance,including Equities, options, bonds mutual funds, ETFs, Private Placements and529 Accounts, Unified Managed Accounts, Separately Managed Accounts and DigitalManaged Accounts.This will includegenerally making senior level presentations related to emerging regulatory and brokerageproduct developments, providing compliance guidance and counsel on variousproduct initiatives and independently researching, providing advice and counselto staff on regulatory and compliance requirements.

    It will also include:


    How Your Work Impacts the Organization

    This position is a key compliance resource in Fidelity BrokerageServices, LLC. (?FBS?), providing dedicated compliance support to FidelityPersonal Investments (?PI?). PI is the retail distribution arm ofFidelity Investments, building lifetime relationships with customers andhelping them save and invest through individual accounts.FBS Compliance is a dedicated centralfunction within PI whose mission is to foster a culture of compliance, toidentify and manage regulatory risk, protect Fidelity?s customers andreputation, and promote business and market integrity. The Senior VicePresident will be a key member of the FBS Compliance senior team responsiblefor the effective design, implementation and ongoing enhancements for the FBS? broker/dealercompliance program.

    At Fidelity, we are focused on makingour financial expertise broadly accessible and effective in helping people livethe lives they want. We are a privately held company that places a high degreeof value in creating and nurturing a work environment that attracts the besttalent and reflects our commitment to our associates. For information aboutworking at Fidelity, visit

    Fidelity Investments is an equalopportunity employer.



    Primary Location




    Job Level

    :Individual Contributor

    Education Level

    :Bachelor's Degree (?16 years)

    Job Type


    Overtime Status



    Associated topics: alumni, demand generation, donor, endowment, event, mba, policy, solicitation, stewardship, twitter * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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