- JD and at least 6-10 years of law firm, industry, or regulatory experience
- Admitted to practice or willing to secure bar admission in the relevant jurisdiction
- Highly advanced expertise and experience in investment adviser securities laws and related rules and regulations and general knowledge and understanding of the regulatory framework for broker dealers, including relevant laws, rules and regulations
- Experience advising on SEC, FINRA, and other laws, rules and regulations applicable to investment advisers and broker-dealers
- Strong work ethic, excellent judgment, and keen attention to detail
- Strong writing and research skills; ability to communicate complex legal issues through organized, thorough and practical analysis and advice
- Strong analytical, strategic, investigatory, and problem-solving skills and ability to work independently with minimal supervision
- Strong sense of ownership of tasks and responsibilities and ability to priority work appropriately
- Ability to work closely and collaboratively with our business partners and others within the Legal, Risk, and Compliance departments
- Ability to manage outside counsel to provide quality legal services in a cost effective manner
- Additional helpful experience includes ERISA and state laws and regulations impacting broker dealers and investment advisers
- Providing day-to-day support to the Custody segment sales, relationship management, and client experience teams, as well as longer term complex projects
- Providing advice and guidance to the custody segment on account-level and firm-level issues and matters, policy questions, forms and applications
- Developing trust-based relationships with Custody segment business partners to provide effective and timely legal support on business critical issues, building reputation as trusted advisor
- Evaluating and assisting in the development of brokerage and custody products and services in collaboration with multiple groups within Fidelity, including product, client experience, risk, compliance, finance, sales, technology, and marketing
- Working and collaborating with the FI/FBOT Legal team and other colleagues in Legal as well as in Risk and Compliance to meet the needs of the FI/FBOT businesses
- Providing advice and training as needed to all levels of the business regarding existing and proposed rules and regulations\u00A0
- Developing an advanced understanding of the Custody segment business in order to recognize patterns, trends, potential areas of risk and provide legal advice accordingly to achieve business priorities
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Senior Legal Counsel - Smithfield, United States - Fidelity TalentSource LLC
Description
Job Description:
Based in Smithfield, RI, Boston, MA or Jersey City, NJ, this role will provide legal support to the growing Fidelity Institutional (FI) and Fund and Brokerage Operations Technology (FBOT) businesses, a collection of business groups that provide brokerage services and investment advisory offerings to third-party intermediary clients, including registered investment advisers (\u201CRIAs\u201D), banks, and broker-dealers.
The Role
You will be part of the team within Fidelity s Legal Department that supports FI and FBOT, primarily advising on a broad array of legal issues that arise in the Custody segment, which services third-party RIAs that use National Financial Services LLC (\u201CNFS\u201D) to custody their client brokerage accounts.
The Expertise and Skills You Bring
\u00A0The Value You Deliver
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. \u00A0\u00A0
We offer a wide range of
benefits to meet your evolving needs and help you live your best life at work and at home. \u00A0These 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. \u00A0Note, 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 top 10 Best Place to Work in 2024. And you don t need a finance background to succeed at Fidelity\u2014we offer a range of opportunities for learning so you can build the career you ve always imagined. Fidelity's working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).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,
detailed in this document, 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.We invite you to Find Your Fidelity at
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
