Regulatory Programs Coordinator

Job Description:

Note: Fidelity will not provide immigration sponsorship for this position

We are looking for an experienced program coordinator to take a central role within Fidelity's Regulatory Reporting Team, tasked with advancing the group's agenda across technology solutions, firm governance activities and compliance obligations.

This individual will work alongside the NFS CFO and departmental leads to:

• Coordinate the scoping, planning and deployment of multiple projects of varying size, including the identification of resource and budgetary needs, to effectively execute project plans.
• Respond to and manage issues and risks for multiple projects throughout the project lifecycle, serving as escalation point to facilitate resolution of issues related to the project or work stream.
• Manage projects to deadlines and guide the team to ensure timely completion.
• Coordinate with Internal Audit, Compliance and Operational Risk on key control programs and related testing.
• Ensure departmental policies and procedures are comprehensively updated in a timely manner.
• Assist in the preparation of governance materials, including those presented to the NFS Board of Directors, Financial Control Committee, Treasury Capital Management Committee and the Financial Reporting Advisory Group.
• Assist in the strategic design of departmental workflows and staffing resources.
• Lead business continuity / resiliency efforts.
• Coordinate with vendors and suppliers as needed.

This individual is expected to maintain an unwavering focus on controls, audit readiness, and regulatory compliance, while enabling the group to advance its capabilities through the use of automation and process efficiencies.

The Team

Fidelity's Regulatory Reporting team is a critical function that is responsible for the firm's SEC and FINRA reporting obligations as they pertain to its regulated broker dealers, including National Financial Services, LLC. This group performs daily Reserve computations as required under SEA Rule 15c3-3 for the protection of Customer assets, monitors Net Capital requirements as required under SEA Rule 15c3-1, and is responsible for the reconciliation of all cash banking activities for the firm. In close partnership with Controllers, Compliance, Operations and other functional groups, this team acts as a key control function for the firm's financial reporting obligations.

The Expertise You Have

• Bachelor's Degree in Finance, Accounting, or related field required
• Familiarity with SEC and FINRA reporting obligations, as well as a broad understanding of brokerage products
• Strategic thinker who can take an end-to-end view of a process and improve upon it
• Experience with various software tools (e.g. Snowflake, SQL, Excel, and PowerPoint), with a demonstrated aptitude for designing well controlled financial processes
• Excellent written and verbal communications skills, including the ability to communicate effectively with business partners at varying levels of the organization
• Demonstrated ability to work in a fast-paced, deadline driven organization with a desire to drive projects to completion
• Self-motivated individual that will bring energy, enthusiasm, and intellectual curiosity to the role
• Excellent problem-solving skills; prioritizing work, breaking down issues, taking an end-to-end view, and proposing alternative solution.
• Ability to manage and prioritize multiple detailed processes in a time sensitive environment.

The base salary range for this position is $80,000-$153,000 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.

Certifications:

Category:

Finance