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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 FidelityCareers.com
Fidelity Investments is an equalopportunity employer.
Job Level:Individual Contributor
Education Level:Bachelor's Degree (?16 years)
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