Risk Management
Senior Manager – Regulatory Inventory Compliance Program
- Smithfield, RI
- Boston, MA
- Merrimack, NH
- Jersey City, NJ
- Westlake, TX
Salary depends on a variety of factors including location and experience. Your recruiter will discuss with you.
Salary: listed in the job description
or discussed with your recruiter
Job Description:
Senior Manager – Regulatory Inventory Compliance Program
The Regulatory Inventory Compliance Program Senior Manager will support certain key cross-enterprise compliance initiatives that primarily include the development and implementation of a regulatory rules inventory and the establishment of a regulatory change management program.
The Team
The Regulatory Inventory Compliance Program Senior Manager will be part of the Compliance Framework and Strategy team, reporting to the Director, Cross-Enterprise Compliance GRC Program Lead. The F&S team develops and leads activities designed to drive a consistent strategy around fundamental compliance program activities, including regulatory change management, regulatory exams/inquiries, compliance issue management, risk identification and assessment, and compliance reporting etc.
The Regulatory Inventory Compliance Program Senior Manager will be part of a team tasked with developing and administering an enterprise-wide rules inventory and regulatory change management process for Compliance to proactively identify and manage regulatory risk across the Firm.
Responsibilities are expected to include:
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Facilitating working sessions with Compliance teams to:
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Analyze current state processes and identify gaps.
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Define and gather business requirements.
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Develop templates to collect and organize data/attributes.
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Develop governance frameworks and processes, define roles and responsibilities.
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Review rule obligations (rule summaries) and coordinate mapping/aligning to the appropriate business organizational hierarchy within the GRC tool; develop a risk-based approach to the mapping process.
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Align and link mapped rules to other GRC applications such as controls, policies/procedures etc.
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Conducting data analytics to determine the scope of work.
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Coordinating, organizing, and prioritizing the key phases of work and schedule/timeline across multiple teams and workstreams, ensuring that the project stays on track.
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Assisting with developing minimum program standards, policies, and procedures to provide guidance on the Regulatory Inventory and Change management program.
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Working with Risk and Technology teams to define functional system requirements based on Compliance’s business requirements, and design and build an intuitive, multi-layered data framework for maintaining a scalable regulatory inventory.
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Developing training, job aids and other communications to socialize and educate teams.
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Developing streamlined, aggregated reporting that enables trending and analytics regarding adherence to regulatory obligations.
The Expertise You Have
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Bachelor’s degree required.
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Experience developing, implementing and/or managing regulatory requirements or rule sets/inventories and regulatory change management compliance programs across large, complex financial services organizations subject to multiple regulatory frameworks is strongly preferred.
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Strong problem-solving, writing, and analytical skills, and attention to detail
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Excellent communication skills, including creating comprehensive, meaningful PowerPoint presentations, able to take large volumes of data and/or complex information and structure/present it in a way that is easy to understand.
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Demonstrated leadership or project management experience.
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Strong time management skills: ability to manage multiple projects concurrently and meet deadlines.
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Effective relationship building and influencing skills.
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Background in securities compliance preferred, including knowledge of SEC and FINRA rules applicable to broker-dealers and registered investment advisors.
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Experience in an enterprise compliance role in the securities and/or asset management industry, with ability to operate across diverse business units, innovative product sets and a broad array of customer segments, is preferred.
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7+ years of related work experience in Project Management, Risk, Compliance and/or at a major consulting firm is preferred.
The Skills You Bring
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Dynamic, strategic problem solver who drives innovative regulatory and technology solutions.
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Innovative thinker who has strong analytical, organizational, and creative critical thinking skills
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Excellent communicator with strong written and verbal communication skills
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Can influence key decision makers through a combination of knowledge, reasoning, and fostered relationships, and knows when and how to escalate problems.
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Supports and fosters a strong culture of risk management.
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Experience working collaboratively across a large organization.
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Encourage a culture of diversity, inclusion, ownership, and empowerment.
The Value You Deliver
Drive stronger and more efficient Regulatory Compliance capabilities by helping to build solutions and tools that enable automated rule traceability and tracking, and efficient regulatory change management.
Support efforts to leverage Technology and Data Analytics to enhance efficiency in the execution of compliance program activities including automated tracking of rule changes or monitoring the effectiveness of controls.
Focus on building and improving Communication & Metrics by leveraging automated tools, dashboards, and on-demand reporting to provide data on areas or levels of regulatory risk, analytics on new or changing regulations etc.
Assume ownership and accountability and understand the prioritization of tasks and milestones on initiatives, programs, and projects; ensure that deadlines are not missed.
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.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
The base salary range for this position is $81,000-$137,000 per year.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.
Certifications:
Company Overview
Fidelity Investments is a privately held company with a mission 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. 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 hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office.
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, detailed in this document, 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.
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.
Company 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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This is my Fidelity
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.
