Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
SF
Hybrid Compliance Director – Cash Management and Payments
Posted 4 weeks ago
About the role
- Compliance Director providing leadership and counsel on regulatory compliance for Fidelity Brokerage Services. Focused on payment capabilities and cash management within the Wealth and Brokerage Compliance team.
Responsibilities
- Compliance leadership and counsel on regulatory and compliance requirements related to the Fidelity Brokerage Services (FBS) broker-dealer
- Support a diverse variety of products and service initiatives with a focus on payment capabilities and cash management features
- Provide consultation and advice on broker-dealer products and services offerings to help the business achieve regulatory compliance
- Design and develop compliance solutions and controls and document policies and procedures to mitigate risk to the broker-dealer
Requirements
- Prior experience with payment capabilities and cash management features, such as debit cards and credit cards and the related regulations is strictly required
- Debit Card experience should include retail (direct to consumer), intermediary advisor managed, and employer sponsored healthcare debit card offerings
- Familiar with and developed a payment/debit card program with a focus on policies and procedures
- Experience in a distributed model with multiple vendors and corporate legal entities involved in the end-to-end payments process and BIN sponsorship agreements
- BA/BS degree required, JD, MBA, or advanced business degree a plus
- 10+ years of financial services experience
- 5 years in a compliance, risk, or legal role in financial services with an understanding of multiple regulatory rules and requirements (e.g. FINRA, MSRB, SEC, FRB, banking regulations, and state securities laws, etc.)
- Strong ability to work and thrive in a fast-paced matrixed framework
- Strong self-starter, collaborator, relationship builder, and strategic problem solver
- Sophisticated ability to understand, research and analyze complex financial, legal, operational, and regulatory requirements
- Identify, escalate and consult on problems and issues across the business unit and develop strategic solutions to address business needs
- Sophisticated presentation skills and an effective communicator; you are skilled at interactions with employees at all levels
- Strong writing skills, with an ability to make complex topics understandable
- Influence key decision makers through a combination of knowledge, reasoning, and relationships.
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
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