Director, Healthcare Compliance - Boston, MA, United States - Fidelity TalentSource LLC

Description

As a Compliance Director in Regulatory Management, we will expect you to have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI), with particular emphasis on complex matters involving sales and trading matters for our Capital Markets division.

You will be responsible for responding to regulatory inquiries and handling examinations related to Clearing and Custody and Capital Markets.

Other businesses you will support include Operations & Services group functions, and enterprise-wide policies and functions impacting FI. Bachelor s Degree required, JD or MBA or advanced business degree preferred
~10+ years of financial services experience
~ Securities industry or regulatory experience preferred
~ Product knowledge to include operations, equities and fixed income sales and trading
~ 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
~ Responding to regulatory inquiries accurately and in a timely manner
Independently leading regulatory examinations in person or remotely.
Conducting 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.

#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.

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.

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).

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 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.