Compliance Director, Fidelity Capital Markets

The Role

As a member of the Fidelity Capital Markets (FCM) Compliance team, you will serve as an informed and trusted business partner, promoting a culture of ethical conduct and commitment to compliance.

The FCM Compliance Director will be responsible for providing a broad range of direct advisory support to a number of trading desks and product areas within FCM. The Director will provide technical and interpretative guidance to FCM personnel. As a compliance associate for FCM, you will build and maintain relationships with business partners, advise on policy matters, and coordinate key compliance activities relevant to FCM.

 The Expertise and Skills You Bring

• Bachelor’s degree with at least 5-7 years of work experience (MBA or law degree is a plus)

• Background in Compliance in a trading environment and/or relevant experience with a securities regulator

• Background in Equity sales and trading coverage is a plus

• Understanding of the capital markets business, securities markets, and equity sales and trading and associated regulations

• Strong analytical, interpersonal, and problem-solving skills, as well as intellectual curiosity and sharp investigative skills

• Ability to simultaneously identify, prioritize, and address core regulatory and compliance issues in a fluid trading environment, as well as quickly respond to shifts in priorities

• Ability to build relationships and collaborate with colleagues and business partners in a fast-paced environment

• Ability to build trust and negotiate with staff from all levels of the organization

• Outstanding organizational skills, including managing project work while also contributing individual work

• Accountability and ownership of issues and initiatives, with an ability to independently exercise sound judgment and see projects through to completion

• Strong written and oral communication skills

• High degree of integrity and strong work ethic; orientation toward results

The Team

Within Fidelity Institutional, FCM provides innovative trading and technology solutions, and execution services across multiple asset classes for institutional investors. The FCM Compliance team provides Compliance advisory support to FCM sales, trading, and product desks. The team develops and maintains written supervisory procedures, compliance policies and other documentation. We implement necessary Compliance structure and changes due to new or amended regulatory requirements applicable to product areas, as well as support the introduction of new products and service initiatives by providing Compliance advice and developing the appropriate Compliance/supervisory infrastructure. We design and deliver targeted training to business personnel and assist regulatory inquiries/exam staff in responding to relevant regulatory matters. By remaining abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, we help support a culture of Compliance.

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.

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 every other week (all business days, M-F) in a Fidelity office.