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Senior Manager, Compliance Operations – Smithfield, RI
Lead escheatment operations, manage compliance, drive tech initiatives and process improvements.
Title: Senior Manager, Compliance Operations
Location: Smithfield, RI
Description: Job Description:
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
The Senior Manager, Compliance Operations oversees the escheatment operations team for Fidelity Digital Assets, FILI, eFILI, HR Services, Accounts Payable, Charitable, Green Pier, Workplace Investing, Fidelity Institutional Asset Management and Fidelity Management Trust Company. This role is also responsible for onboarding and implementing new lines of business, including developing policies, procedures, and controls. The role involves leading technological initiatives, responding to inquiries from internal and external stakeholders, supporting process improvements, and strengthening controls. The Senior Manager ensures that all team responsibilities and deliverables are completed accurately and on time.
Responsibilities Include
- Manage workflow of state requests and assignment of state requests to analysts.
- Hire, lead, mentor, and develop a team of associates, fostering a high performance and continuous improvement in culture.
- Coordinate annual escheatment with internal and external business partners, which includes managing to strict timelines and problem-solving.
- Ensure on-going compliance with SEC and state required due diligence mailings. Integrate state changes to mailing parameters, re-write customer correspondence as required, and obtain business partner consensus and eReview approvals.
- Lead project work, defining system requirements, drafting project documentation, and validating UAT results.
- Responsible for records management and policy and procedure documentation.
- Resource to other members of the department providing direction and technical expertise as needed.
The Expertise and Skills You Bring
BA/BS degree required.
Experience: 5 to 8 years of experience in one or more of the following areas: Escheatment, brokerage operations, Risk and Compliance.
Some knowledge of state escheatment rules is a plus.
5 plus years in business analysis and or project management in financial services.
Excellent interpersonal, communication and time management skills.
Working knowledge of Fidelity systems including FBSI, XTRAC, TrackerPro is a plus.
Strong collaboration skills and ability to influence cross-functional partners.
Process oriented mindset with a focus on automation, efficiency, and error reduction.
Strong program management, prioritization, and attention to detail.
Ability to clearly communicate technical concepts to non-technical stakeholders.
Comfortable working in fast paced environments.
Strong regulatory and control mindset.
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
Investment Operations
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.