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Director - Regulatory Reporting
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$85,000 - $144,000 a year
Full-time
- We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
- The Director will act as a primary interface between internal trading desks, middle office teams, compliance, systems development squads and other business partners that have an impact on Regulatory Reporting.
- Strong knowledge of broker/dealer Customer and Account Information systems and/or highly complex order routing flows and their impact to downstream systems preferred.
- Series 7 and Series 24 required within 6 months of hire
- Fidelity's broker-dealers, National Financial and Fidelity Brokerage Services, are required to send significant amounts of detailed trading data to various governmental and industry regulators such as FINRA, FINRA CAT, the SEC and MSRB. The Regulatory Reporting group plays an integral role in ensuring that all trading activity has been accurately reported to the Regulatory agencies.
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