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Job Details

Director Compliance: Fidelity Managed Account Platform FMAP

Company name
Fidelity Brokerage Services LLC

Location
Boston, MA, United States

Employment Type
Full-Time

Industry
Executive, Manager, Finance, Compliance

Posted on
Jan 04,2019

Valid Through
Apr 19,2019

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Profile

Director, Compliance: Fidelity Managed Account Platform (FMAP)','1900006','!*!As a member of the Fidelity Managed Account Platform (FMAP) Compliance team, you will serve as a subject matter expert within the FI Compliance team; focusing on compliance matters regarding distribution of investment advisory managed accounts and wealth management products, services and tools.  You will also monitor changes in regulations and policies and will assist in the development and oversight of controls to mitigate risk.

The Team

Fidelity Institutional (FI) offers clearing, custody, investment products, brokerage and trading services to a wide range of financial intermediary firms. Our reputation is built on trust, and the mission of Fidelity Institutional Compliance is to maintain the highest professional compliance standards, while supporting fast paced product, service and tool development. Our intermediary customers expect the highest professional compliance standards from us and we expect it from ourselves.  To support this mission we provide the tools and resources needed to comply with regulations and Fidelity policies.  Fidelity Institutional Compliance supports several distinct businesses, including Fidelity Capital Markets, Fidelity Institutional Asset Management, Fidelity Family Office and Fidelity Clearing & Custody Solutions.

 The Expertise You Have

7 years of investment advisor experience

4 year college degree required, MBA preferred

Strong understanding of  wealth planning and advice solutions and intermediary distribution frameworks

Strong ability to work and flourish in a matrixed/agile framework

The Skills You Bring

Your strong relationship management and communication skills

Your experience working collaboratively with firm-wide teams

Your ability to simultaneously identify, prioritize and address multiple issues and quickly respond to shifts in priorities

Your ability to influence key decision makers through a combination of knowledge, reasoning and relationships

Strong analytical, organizational, and problem solving skills

The Value You Deliver

Building compliance standards for a new investment advisor from the ground up and ensuring those standards supporting FMAP and related advice products, services and tools are maintained over time

Providing subject matter expertise to the organization on compliance requirements for new and innovative platform based advice solutions

Leveraging your experience in the financial services industry with an emphasis on advice, planning and wealth management services

Creating tools and training for compliance and business representatives on requirements for advice solutions and products

Drafting policies and procedures, communications to the business and other leaders, including status reports, program updates and requirements

 

 ','!*!Company Overview

At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences.  For information about working at Fidelity, visit Fidelitycareers.com

Fidelity Investments is an equal opportunity employer.','Compliance','US-MA-Boston','US-RI-Smithfield, US-NY-New York','Full-time','Individual Contributor','Bachelor's Degree (±16 years)','Standard','Exempt','Exempt','No','Director, Compliance: Fidelity Managed Account Platform (FMAP)

Company info

Fidelity Brokerage Services LLC
Website : http://www.fidelity.com/

Company Profile
Fidelity Investments has a rich and proud history. From our roots as a small mutual fund company, Fidelity has grown to become a leading provider of a wide range of services, including investment management, retirement planning, brokerage, and human resources and benefits outsourcing services.

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