The Expertise and Skills You Have

• Bachelor’s degree with 8-10 years of work experience required
• Prior people management experience required
• Experience in compliance, legal, risk, audit, or brokerage operations required
• FINRA Series 7 and Series 24 licenses preferred
• Knowledge of FINRA registration filings (Form U4, Form U5, Form BD, Form BR, etc.) preferred
• Experience in operational improvement, process/workflow development, and managing complex cross-functional projects
• You understand complex issues and regulatory requirements, and can provide clear and concise explanations in written and verbal communication, including to senior management
• You respond effectively to shifting priorities while maintaining progress of regularly scheduled work
• You have experience leading teams and projects, solving hard problems and operationalizing complex initiatives
• You are a thoughtful decision maker who strives to improve the associate experience while maintaining a strong culture of compliance
• You are an energetic, positive, adaptive, and results-focused contributor and leader who balances pace over perfection with a risk-based lens
• Experience reading and interpreting complex written material in a regulatory environment
• Familiarity with Fidelity's Broker-Dealer organizations and operations preferred

The Value You Deliver

• Supervise distribution and completion of large-scale compliance tasks to ensure compliance with regulatory requirements
• Ability to communicate and collaborate across various Business Units as well as with coworkers in a team-oriented environment
• Oversee transformation of systems and processes through expanding robotic process automation, digital process automation, and mobile application capabilities to build a digital compliance platform for the future
• Develop mechanisms for increasing partner engagement and transparency into roadmaps and portfolios of work
• Build the team and skills necessary for long-term growth and to meet the support needs of associates, business partners, and other team members
• Drive and strengthen cross-functional relationships to increase collaboration and influence shared goals and priorities
• Partner with Legal for response to internal and external inquiries and examinations and to resolve complex audit and regulatory issues, communicating outcomes to senior business leaders
• Ability to manage sensitive, confidential information in a respectful and professional manner
• Provide policy guidance to Fidelity associates at all levels, including senior leadership
• Proactively identify, evaluate, and implement enhancements to the controls framework that will further optimize the balance between efficiency and control
• Provide the direction, vision, motivation, and leadership to achieve an associate experience and performance-driven culture
• Create headcount forecasts and staffing scenarios using volume analysis and data analytics tools to maintain appropriate staffing levels
• Execute a key talent management program focused on attracting, retaining, and developing associates
• Encourage a culture of diversity, inclusion, ownership, and empowerment