Compliance Director jobs in United States
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Fidelity Investments · 17 hours ago

Compliance Director

positionMerrimack, NH
timeFull-time
remoteHybrid
senioritySenior Level, Lead/Staff
money$103K/yr - $211K/yr
date10+ years exp

Fidelity Investments is a leading financial services firm, and they are seeking a Compliance Director to manage regulatory inquiries and examinations. The role involves collaborating with regulators and internal partners to ensure compliance with securities regulations and managing associated risks.

Asset ManagementFinanceFinancial ServicesRetirementWealth Management
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Growth OpportunitiesbadNo H1Bnote

Responsibilities

Independently responding to regulatory inquiries accurately and in a timely manner
Leading regulatory examinations in person or remotely
Drafting timely, detailed, and accurate written communications to industry regulators
Sharing knowledge of securities markets and associated regulations
Conduct detailed research and collaborate with business partners, compliance peers, and Legal
Identifying core regulatory and compliance issues in a trading environment
Evaluating 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

Qualification

Regulatory compliance expertiseSecurities market knowledgeFinancial services experienceMicrosoft Excel proficiencyLegal collaborationDeadline-drivenEffective communicationProblem-solving skills

Required

Bachelor's Degree required
10+ years of financial services experience
Your 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 findings
You are proficient in Microsoft Excel
You are able to partner with the legal department concerning litigation, regulatory investigations and regulatory filings
You are effective when communicating with regulators and internal business partners
You thrive in a deadline driven, fast-paced environment
You are able to independently identity, analyze and resolve problems

Preferred

JD or MBA or advanced business degree preferred
Securities industry or regulatory experience preferred
Product knowledge to include operations, equities and fixed income sales and trading

Benefits

Comprehensive health care coverage and emotional well-being support
Market-leading retirement
Generous paid time off and parental leave
Charitable giving employee match program
Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career

Company

Fidelity Investments

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Fidelity’s mission is to strengthen the financial well-being of our customers and deliver better outcomes for the clients and businesses we serve.
dateFounded in 1946
location
Boston, Massachusetts, USA
people-size10001+ employees
web-link
https://www.fidelity.com

Funding

Current Stage
Late Stage
Total Funding
$152.82M
Key Investors
Apple
2020-12-28Secondary Market· $2.5M
2018-01-14Secondary Market· $1M
2017-05-03Secondary Market· $12.5M

Leadership Team

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Abigail Johnson
Chairman & CEO
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Jeanmarie Ward
Senior Vice President of Architecture
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Company data provided by crunchbase