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Senior Associate, Regulatory Reporting Operations
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- As a Senior Associate within the Regulatory Reporting External Support team, you will be responsible for providing frontline support to the firm s external shareholders for all matters related to regulatory reporting.
- This role carries a dual function in that a portion of the work will be dedicated to working closely with the firm s institutional broker dealer clearing and correspondent clients, while also partnering with compliance to respond directly to regulator inquiries regarding previous reporting activity or existing processes used to report on required trading and customer account information.
- FINRA Brokerage licenses Series 7 & 63 required within 6 months
- Optimizing the broker dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
- Fidelity, through its broker dealers, is required to send significant amounts of detailed trading and customer account and identification data to various governmental and industry regulators such as FINRA, FINRA CAT, the SEC and MSRB. The Regulatory Reporting group, across several functions, is responsible for performing these duties on behalf of the broader firm.
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