Job Description:
Compliance Officer/Deputy MLRO
As a member of the FDA Compliance team, you will serve as a trusted partner, promoting a culture of ethical conduct and commitment to supporting compliance, regulatory, and legal obligations. The successful candidate will be responsible for developing and implementing the compliance and anti-money laundering programme.
The Value You Deliver
- Collaborate with Head of Compliance to meet regulatory requirements.
- Develop and maintain an effective risk-based AML/CTF/Sanctions Compliance Programme to comply with requirements across the EEA. The successful candidate will be the Deputy MLRO for FDA Ireland.
- Working with Legal, Risk and Compliance colleagues to build out the firm's Three Lines of Defence model.
- Maintaining and updating compliance policies and procedures and ensuring that controls and procedures are in place across all relevant functions.
- Advise and assist colleagues with compliance related issues.
- Conducting monitoring and testing across controls and procedures in FDA Ireland.
- Identifying new regulatory developments and communicating impact to senior management and recommending measures to address gaps.
- Working closely with the FDA Ireland’s service providers and overseeing adherence to outsourcing requirements.
- Supporting FDA Ireland's response to regulatory requests and examinations.
- Supporting FDA Ireland's preparation of application materials for CASP authorisation and implementing arrangements to comply with MICAR.
- Provision of compliance training to FDA Ireland and overseas colleagues.
- Undertaking risk assessments and preparation of reports for senior management.
- Reviewing customer risk assessments and undertaking reporting to external bodies.
- Working closely with colleagues in UK and US to develop compliance arrangements.
The Expertise and Skills You Bring
- 7+ years of related experience in a compliance or regulatory role.
- Operating with the highest honesty and integrity in performing your role to date, meeting fit and proper standards.
- Excellent analytical and communication skills.
- AML/CTF/Sanctions expertise including knowledge of the applicable requirements (such as the CJA and relevant EU AML Directives). Experience in implementing AML/CTF policies, controls and procedures.
- Relevant experience regarding the identification, assessment and management of financial crime risks.
- Subject matter expertise on regulatory requirements, including: MICAR; Market Abuse; Outsourcing; Conflicts of Interest; Individual Accountability Framework; Fitness and Probity; Best Execution; Regulatory Reporting and Complaints Management.
- Ability to influence key decision-makers through a combination of knowledge, reasoning, and relationships.
- Drafting policies and procedures, communications to the business and engaging training materials.
- Ability to analyse, interpret, and communicate regulatory guidance to support business unit initiatives and advise leaders how to proceed in a compliant manner.
- Experience of working in digital assets, custody or trading environment.
The Team
This role reports to the CCO FDA Ireland. The role will work closely with the wider FDA Compliance team FDA is a subsidiary of Fidelity Investments and operates as a separate business dedicated to digital assets.
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Category:
ComplianceCompany overview
At Fidelity, we are passionate about 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. Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process.
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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. Honored with a Glassdoor Employees’ Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you’ve always imagined.
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).
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 Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
Benefits that adapt to everything life sends your way
401(k) with company match
Medical, dental, vision and prescription drug coverage
16-week maternity leave & 12-week parental leave
Student loan assistance
Fidelity is invested in you
Committed to Professional Development
At Fidelity, we are constantly adapting to the changing needs of our customers, new technologies, and better ways of working. And we empower our employees to do the same, with an emphasis on developing skills and connections that will help propel you forward in your career while being able to make an impact for Fidelity’s customers around the world.
We offer a wide range of options for professional development including online, in-person, and mentor driven solutions. Special interest and networking groups are also part of our culture of empowerment, personal and professional enrichment, diversity and inclusion, and knowledge sharing.
Continuing Education & Training
- Assess, build, and align your development plan through resources like our skill-building classroom and online courses.
- Video-based training for technology, leadership, management & more.
- Ongoing skills development and coaching opportunities.
- Paid training with a facilitator who is dedicated to your onboarding and will track and evaluate your progress, giving you strategies to improve.
- A range of talent development programs to support career mobility.
Mentoring
- Utilize the skills of experienced leaders to enrich your career.
- Dedicated mentors to help you grow into new areas of Fidelity’s business as you develop new skills.
- An open atmosphere of knowledge sharing and collaboration.
- Opportunities to pay it forward, sharing the knowledge you develop and as you help others define how they want their career to take shape.
Our Commitment to Diversity and Inclusion
"Fidelity believes in, and is committed to, fair and equitable treatment for every associate and customer, and to creating a safe and respectful environment, in which everyone is treated with kindness, compassion and respect." Abby Johnson | Chairman and CEO Fidelity Investments
At Fidelity, we are committed to building an enduring culture of inclusion and belonging that will attract, develop and retain a diverse workforce.
Fidelity’s ten affinity groups are self-organized groups of employees with common interests in areas such as race, ethnicity, gender or sexual orientation, or who share similar interests based on similar sets of experiences.
These Employee Resource Groups and Special Interest Groups are models of inclusion for Fidelity. They’re also a powerful form of engagement and development and can provide a pathway to visible leadership roles. Our affinity groups make a large contribution on the business, helping to ensure our products and services are delivered in a welcoming and equitable environment.
- Over 22K employees participate in an affinity group.
- Over 1,400 affinity group members volunteered for Fidelity Cares in 2020.
- 74% increase in affinity group memberships over the last three years.
Giving Back to Our Communities
Throughout Fidelity, you’ll find a genuine commitment to social responsibility – where we strive to make an impact for customers, while also making an impact on the world.
Fidelity Cares
- Provides associates with opportunities to actively volunteer and share their talents.
- Hosts numerous company-wide volunteer events (in-person and virtual).
- Partners with nonprofit organizations to support our local communities.
- More than 12,000 associates donate time annually – from interns to SVPs.
- Impact includes refurbishing schools, donating books and supplies, and teaching financial literacy.
Fidelity Charitable®
- Created to make it easy for people to support charitable organizations they care about.
- Helped deliver $7.3 billion in donor-recommended grants to charity in 2019.
- Supported more than 300,000 unique charities around the world.
- Since its inception, more than $42 billion has been given to public charities.