Compliance Manager, eComm Surveillance

Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role

As the Manager of the eComm Surveillance team and a member of the broader Digital Compliance team, you will lead a team responsible for the initial review of the electronic communications of Fidelity associates. This role is also responsible for learning, understanding, and reviewing the requirements of various Compliance and Human Resources policies to ensure that surveillance systems and team members are identifying and appropriately escalating potential violations.

The Expertise and Skills You Bring:

• 5 plus years of electronic communications, compliance, legal, risk, Investigative, Audit, or operations experience or comparable experience.

• Strong understanding of electronic communications regulations and applicability to financial services firms is a plus.

• Experience working across various levels of leadership.
• Demonstrated leadership and mentoring skills.
• Proven analytical, investigative, and creative thinker
• Ability to work in a fast-paced environment and multi-task
• Ability to manage and prioritize multiple priorities with strict deadlines
• Knowledge of and interest in the financial services industry
• Working knowledge of computer systems and applications designed to support investigative and research efforts, including commercial/research databases; training will be given, but some familiarity with using databases for research will be very helpful.
• Excellent proofreading skills with high attention to detail.
• Ability to present ideas and information clearly and effectively through verbal and written channels.
• Ability to provide input to decision-making process by offering solutions.
• Ability to build relationships with business partners across the organization that foster trust and promotes transparency.

Management:

• Provide day-to-day oversight of a group of Compliance associates.
• Provide input and feedback to associates and leadership on performance and development of the team.
• Work with associates to identify, resolve and/or escalate issues in a timely and effective manner. Communicate the resolution/status of issues to management.
• Work with team to develop recommendations/propose solutions to management concerning compliance trends and potential issues.

Risk Mitigation:

• Proactively identify areas of highest risk exposure and develop efficient and effective solutions to minimize those risks.
• Participate in the development and implementation of departmental policies and procedures to ensure that monitoring processes are executed in an effective and well-controlled environment.
• Continually evaluate current monitoring systems for efficiency and controls.
• Work with management and technology partners to identify and prioritize systems enhancements that will achieve department objectives.
• Work closely with the broader Digital Compliance team and technology to provide business requirements for systems initiatives aimed at improving the operating efficiencies and monitoring capabilities of the group.
• Work with the broader Digital Compliance team to develop, implement and maintain effective communication and reporting programs designed to promote awareness and reduce the likelihood of issues.

Monitoring:

• Review high volume of electronic communications flagged as potential violations of Fidelity policies via the surveillance tool.
• Escalate and communicate clearly, both in writing and verbally, with management regarding issues encountered, questions and statistics.
• Conduct research as needed to understand the exact nature or meaning of individual electronic communications.
• Tools of research include internet and commercial databases of media and financial information.
• Topics of research cover a wide range of issues, including current and past events affecting Fidelity’s businesses; additional electronic communications for one or more targeted individuals for a limited time frame.
• Slang terminology used in the financial services industry and in general.
• Maintain a working knowledge of various Compliance and Human Resources policies.
• To detect possible violations, the Manager must regularly review the relevant policies and participate in group trainings/discussions regarding the application of the policies.

The Team

The eComm surveillance team provides guidance and support on Fidelity’s Electronic Communications policy and related regulations, assists with onboarding and ensuring retention of eCommunications tools and channels, and supports surveillance activities. This person is also part of the broader Digital Compliance team focused on ensuring digital regulatory readiness across a various practices including Privacy, Records Management, Social Media and eCommunications Compliance, Technology Resiliency and Data Management.

Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.

Certifications:

Category:

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.