Director, Compliance Governance and Oversight - Fidelity Digital Assets - Fidelity Investments : Job Details

The Role

As a member of the Fidelity Digital Assets, LLC ( FDA ) Compliance team, this role will serve as an informed and trusted business partner, who promotes an environment of ethical conduct and dedication to compliance, regulatory and legal obligations. This role on the Compliance Governance and Oversight Team will support compliance oversight of FDA, collaborating closely with many teams within FDA and across the Fidelity organization, such as Wealth & Brokerage, Fidelity Institutional, and Workplace Investing.

You Will

• Collaborate with the other teams to supervise and provide oversight of compliance activities owned by affiliate service providers.
• Participate in leading the development of formalized governance oversight activities including issues management, compliance training, and program enhancement management.
• Develop, implement, and maintain comprehensive compliance policies and procedures that align with regulatory obligations and organizational objectives.
• Coordinate, improve, and build management reporting systems to highlight compliance status and raise critical issues to senior leadership.
• Understand and communicate the strategic vision and compliance road map.
• Partner with international compliance teams to support compliance readiness.
• Assist Regulatory Management in responding to relevant regulatory matters and building positive relationships with regulators.
• Partner with compliance areas such as AML, Risk, Records Management, Cybersecurity, and Privacy Programs to ensure that FDA is meeting internal and external requirements.
• Remain up-to-date on regulatory changes and landscape, standard methodologies, and new developments in the industry.
• Promote compliance awareness through training and education.

Experience You Bring

• 8+ years of combined experience in Compliance, Risk, and Legal
• Strong people management with experience managing teams
• 4-year college degree required, MBA or JD is a plus
• Have a strong understanding of banking regulation including both Federal and State banking requirements, Regulation E, UDAAP, and AML/BSA
• Strong attention to detail, with strong analytical, organizational, and problem-solving skills
• Positive relationship skills; ability to articulate well, coordinating across various teams, including Legal, Operations, Risk and Audit
• Ability to influence key decision makers through a combination of knowledge, reasoning and relationships
• Ability to work efficiently in a fast paced, complex regulatory environment.

The Team

This team reports to the Chief Compliance Officer for Fidelity Digital Assets, a full-service, enterprise grade platform for securing, trading, and supporting investments in digital assets.

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 Best Place to Work in 2023. And you don't need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you've always imagined.

At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling “Dynamic Working.”

We invite you to Find Your Fidelity at fidelitycareers.com.

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 [email protected], or by calling 800-###-####, prompt 2, option 3.

Category: Compliance

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

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.