Senior Manager, Compliance Operations - 2064952

Company: Fidelity Investments
Location: Westlake, TX
Posted on: November 3, 2022

Job Description:

Position Description:

Develops financial compliance-related policies and procedures to effectively monitor brokerage accounts of U.S. based employees and onshore and offshore contractors. Manages securities licenses of associates according to FINRA and state regulators by identifying, resolving and addressing complex financial compliance and ethical issues impacting business units. Provides oversight on all programs and operations. Serves as a Subject Matter Expert (SME) for brokerage accounts of U.S. based employees. Researches, interprets, and advises on SEBI regulations and financial and securities markets defining a clear course of action to resolve matters of regulation and upcoming changes in the regulatory environment.

Primary Responsibilities:

Elicits, captures, and interprets customer problems from multiple perspectives across projects or within a program.

Presents implications and recommendations with a strategic perspective influencing project parameters and outcomes.

Establishes and project manages analysis plans for multiple and moderately complex work steams.

Holds accountability for integration into larger, multi-disciplined projects, as appropriate.

Performs quality assurance assessments in accordance with policies and procedures, identifies trends, and performs root cause analysis.

Creates and implements effective feedback loops with process engineers to implement recommended changes and improvements to policies and procedures.

Analyzes complex rules and requirements and identifies where business units may be impacted and recommends a course of action.

Plans process and project management, and short-term resource allocation.

Presents complex, technical and non-technical compliance information to the business.

Provides compliance advice and problem resolution to business units/partners when complex issues will impact business activities.

Identifies, develops, and leads the implementation of new compliance requirements.

Reviews and revises complex requirements for system enhancements and controls including testing and implementation.

Assess inherent and residual compliance risks in key business activities or product and testing controls.

Education and Experience:

Bachelors degree (or foreign education equivalent) in Computer Science, Business Administration, Marketing, Engineering, Information Technology, Information Systems, Mathematics, or a closely related field and five (5) years of experience in the job offered or five (5) years of experience managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.

Or, alternatively, Masters degree (or foreign education equivalent) in Computer Science, Business Administration, Marketing, Engineering, Information Technology, Information Systems, Mathematics, or a closely related field and three (3) years of experience in the job offered or three (3) years of experience managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.

Skills and Knowledge:

Candidate must also possess:

Demonstrated Expertise (DE) identifying, verifying, and documenting requirements -- business, functional, and technical, including SEC and FINRA -- to support the development of complex application workflows and business processes for enterprise ethics and compliance (registration and licensing applications).

DE developing policies and procedures for covered securities, employee trade monitoring programs, and systems for compliance with SEC regulations 17j-1, 38A1, and 204A.

DE developing policies, procedures, reports, and workflows for FINRA registrations within FINRA Rules 1210, 1220,1230, and 4530.

DE designing and implementing test and validation protocols for employee trade monitoring and registration and licensing systems and compliance reporting within a global investment products and services environment.

For full job details and to apply, please visit https://jobs.fidelity.com/ and search for job number: 2064952

Keywords: Fidelity Investments, Dallas , Senior Manager, Compliance Operations - 2064952, Finance , Westlake, TX , Texas