Fidelity Investments
Director, FDAS Compliance
Fidelity Investments, Boston, MA
Job Description:
The Role
As a member of the Fidelity Digital Asset Services, LLC (FDAS) Compliance team, you will serve as an informed and trusted business partner, who promotes a culture of ethical conduct and commitment to compliance, regulatory and legal obligations. In this role you will lead the Controls, Testing and Oversight Team, collaborating closely with within FDAS and across the Fidelity organization, such as Personal Investing, Fidelity Institutional, and Workplace Investing.
You will:
The Expertise and Skills You Bring
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. FDA is part of the Enterprise Services portfolio of agile, standalone organizations, which drive innovation, with the purpose of collaborating with Fidelity's businesses to develop new sources of revenue, explore emerging technologies, enhance operational capabilities, and improve the customer experience. The Enterprise Services portfolio also includes Fidelity Labs, the Fidelity Center for Applied Technology, F-Prime Capital, and Impresa Management LLC.
Certifications:
Category:
Compliance
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).
The Role
As a member of the Fidelity Digital Asset Services, LLC (FDAS) Compliance team, you will serve as an informed and trusted business partner, who promotes a culture of ethical conduct and commitment to compliance, regulatory and legal obligations. In this role you will lead the Controls, Testing and Oversight Team, collaborating closely with within FDAS and across the Fidelity organization, such as Personal Investing, Fidelity Institutional, and Workplace Investing.
You will:
- Lead the Regulatory Control Mapping and Testing Program, including analyzing new products and regulatory requirements
- Create and support the policies and procedures program
- Create and support Compliance management reporting
- Oversee the FDAS Records Management Program
- Oversee the FDAS Privacy Program
- Support the Cybersecurity team with compliance related requirements
- Conduct enforcement action gap analysis and review on relevant industry actions
The Expertise and Skills You Bring
- Experience building compliance controls and testing programs
- 8+ years of combined experience in Compliance, Risk, and Legal
- 4-year college degree required, master's degree, MBA or JD is a plus
- Strong attention to detail and experience supporting a regulatory compliance program
- Strong analytical, organizational, and problem-solving skills
- Strong relationship and communication skills; strong ability to work independently and as part of a closeknit team
- Ability to influence key decision makers through a combination of knowledge, reasoning and relationships
- An ability to work and flourish in a fast-moving, start-up environment operating in an uncharted regulatory environment
- An ability to work collaboratively across various teams, including Legal, Operations, Risk and Audit
- An interest in learning about digital assets
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. FDA is part of the Enterprise Services portfolio of agile, standalone organizations, which drive innovation, with the purpose of collaborating with Fidelity's businesses to develop new sources of revenue, explore emerging technologies, enhance operational capabilities, and improve the customer experience. The Enterprise Services portfolio also includes Fidelity Labs, the Fidelity Center for Applied Technology, F-Prime Capital, and Impresa Management LLC.
Certifications:
Category:
Compliance
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).