Job Description:

The Role

The FMR LLC Legal Department is seeking to hire a senior attorney to join the Regulatory Affairs team to help manage regulatory examinations, inquiries and investigations, interface with various governmental agencies in connection with such matters and represent the firm in enforcement proceedings. The senior attorney will also advise the Fidelity enterprise, businesses and audit, security, compliance and risk management on regulatory issues.

The Expertise and Skills You Bring

J.D with 8+ years’ relevant experience as a practicing attorney; federal prosecution experience desired.

Expertise in DOJ, SEC, FINRA and other governmental and agency inquiries, investigations, examinations and proceedings, and internal investigations.

Knowledge of the laws and regulations applicable to SEC and FINRA registrants and broker-dealer compliance is required. Other areas of expertise such as political law, inside information, conflicts, abandoned property and ecommunications is a plus.

Experience must include senior responsibility for directing and being accountable for major matters.

Ability to work independently under pressure in a dynamic environment that will require you to manage multiple, competing tasks simultaneously. 

Ability to work as a team member in a team context; ability to build relationships with a range of lawyers and non-lawyers across the company.

Excellent advocacy and project management skills.

Willingness to learn new areas and manage matters to completion.

Willingness to exercise independent judgment.

Highly organized, self-motivated and self-directed, but comfortable with reporting lines that require obtaining approvals and buy-ins from numerous constituents.

Strong communications and presentation skills, including the ability to communicate complex legal concepts clearly and efficiently.

Excellent writing and analytic skills.

The Team

The Regulatory Affairs team is composed of several lawyers who advise on regulatory matters across the Fidelity organization, including the firm’s retail and institutional brokerage and wealth management, workplace investing, and asset management businesses. The team counsels on regulatory examinations, inquiries and investigations, as well as on internal investigations. The team also provides legal support to the firm’s enterprise compliance, audit, security and risk management organizations on areas including AML, OFAC, FCPA, political law, inside information, conflicts, abandoned property, ecommunications and broker-dealer compliance issues. Team members are based out of Fidelity’s Boston, NY/NJ and Westlake, Texas offices.

Certifications:

Company Overview

At Fidelity Investments, our customers are at the heart of everything we do. As a privately held company with a rich 75-year history, our mission has remained the same since our founding: 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. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning and growth so you can build the career you’ve always imagined. We welcome associates from different backgrounds and with different perspectives to help us innovate and make a difference for our customers and our communities.

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 Leave of Absence/Accommodation Team by sending an email to accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 2.

Fidelity will continue to keep the safety of associates and customers as our top priority and this will never change. As the pandemic evolves and Federal, State, and Local regulations emerge, it has become clear that knowing the vaccination status of all associates is critical to our safety efforts.

Therefore, Fidelity will require all candidates to disclose their COVID-19 vaccination status during the hiring process, and if vaccinated, provide proof of vaccine.

This is not a requirement to be vaccinated. It is a requirement to report vaccination status and, if vaccinated, provide proof.