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Broker- Dealer Regulation Attorney

Fidelity Investments
Westlake, USA
Closing date
Mar 4, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job Description:
The FMR LLC Legal Department has a unique opportunity for an innovative attorney to join our Wealth and Brokerage legal team as Legal Counsel, Broker-Dealer Regulation. This role focuses on groundbreaking digital financial services offerings from Fidelity's retail broker-dealers.

You will support ongoing broker-dealer operations, providing analysis of applicable financial services related-law, rules, and regulations, including FINRA Rules, Securities Exchange Act of 1934, and Regulation Best Interest. You will also integrate with Fidelity's digital engagement product teams to support development of our suite of web and mobile investing platforms. These product teams are responsible for the end-to-end digital experience of our retail customers.

The Expertise and Skills You Bring
  • 3-7 years of relevant law firm, industry, or regulatory experience as a practicing attorney
  • Substantial background and experience advising FINRA member broker-dealers and U.S. Securities and Exchange Commission registered investment advisers
  • Experience in the areas of account opening, trading platforms, application of artificial intelligence (AI) technology, cryptocurrency, and advanced analytics and planning experiences is appreciated
  • Ability to work independently under pressure in a dynamic environment that will require you to manage multiple, competing tasks simultaneously
  • Strategic and critical thinking skills, excellent judgment, and decision-making skills
  • Excellent analytical, oral, and written communication skills, in particular the ability to reduce sophisticated legal issues to straightforward, practical analysis, and advice

The Value You Deliver
  • A key member of Fidelity's Personal Investing (PI) legal team, working closely with other members of Fidelity's Legal department and cross-department colleagues in Risk and Compliance
  • Proactively find solutions for businesses as they plan and execute on delivering new and updated digital experiences
  • Analyze and provide guidance on evolving laws, rules, and regulations, and trends impacting digital financial services offerings
  • Communicate with various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the business
  • Recognize priority initiatives and effectively manage clients

The base salary range for this position is $103,000-$218,000 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 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.
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 , 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.

At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we're calling "". Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, 5 consecutive days, every four weeks. These requirements are subject to change.

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, , 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 .

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 , or by calling 800-835-5099, prompt 2, option 3.
We welcome those with experience in jobs such as General, General, and General and others in the General to apply.

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