Fidelity Investments

Based in Smithfield, RI, Boston, MA or Jersey City, NJ, this role will provide legal support to the growing Fidelity Institutional (FI) and Fund and Brokerage Operations Technology (FBOT) businesses, a collection of business groups that provide brokerage services and investment advisory offerings to third-party intermediary clients, including registered investment advisers ("RIAs"), banks, and broker-dealers.. You will be part of the team within Fidelity's Legal Department that supports FI and FBOT, primarily advising on a broad array of legal issues that arise in the Custody segment, which services third-party RIAs that use National Financial Services LLC ("NFS") to custody their client brokerage accounts.. Providing day-to-day support to the Custody segment sales, relationship management, and client experience teams, as well as longer term complex projects. Evaluating and assisting in the development of brokerage and custody products and services in collaboration with multiple groups within Fidelity, including product, client experience, risk, compliance, finance, sales, technology, and marketing. 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.

senior legal counsel

Job Description: Based in Smithfield, RI, Boston, MA or Jersey City, NJ, this role will provide legal support to the growing Fidelity Institutional (FI) and Fund and Brokerage Operations Technology (FBOT) businesses, a collection of business groups that provide brokerage services and investment advisory offerings to third-party intermediary clients, including registered investment advisers ("RIAs"), banks, and broker-dealers. The Role You will be part of the team within Fidelity's Legal Department that supports FI and FBOT, primarily advising on a broad array of legal issues that arise in the Custody segment, which services third-party RIAs that use National Financial Services LLC ("NFS") to custody their client brokerage accounts. The Expertise and Skills You Bring <ul> <li>JD and at least 6-10 years of law firm, industry, or regulatory experience </li><li>Admitted to practice or willing to secure bar admission in the relevant jurisdiction </li><li>Highly advanced expertise and experience in investment adviser securities laws and related rules and regulations and general knowledge and understanding of the regulatory framework for broker dealers, including relevant laws, rules and regulations </li><li>Experience advising on SEC, FINRA, and other laws, rules and regulations applicable to investment advisers and broker-dealers </li><li>Strong work ethic, excellent judgment, and keen attention to detail </li><li>Strong writing and research skills; ability to communicate complex legal issues through organized, thorough and practical analysis and advice </li><li>Strong analytical, strategic, investigatory, and problem-solving skills and ability to work independently with minimal supervision </li><li>Strong sense of ownership of tasks and responsibilities and ability to priority work appropriately </li><li>Ability to work closely and collaboratively with our business partners and others within the Legal, Risk, and Compliance departments </li><li>Ability to manage outside counsel to provide quality legal services in a cost effective manner </li><li>Additional helpful experience includes ERISA and state laws and regulations impacting broker dealers and investment advisers </li></ul>The Value You Deliver <ul> <li>Providing day-to-day support to the Custody segment sales, relationship management, and client experience teams, as well as longer term complex projects </li><li>Providing advice and guidance to the custody segment on account-level and firm-level issues and matters, policy questions, forms and applications </li><li>Developing trust-based relationships with Custody segment business partners to provide effective and timely legal support on business critical issues, building reputation as trusted advisor </li><li>Evaluating and assisting in the development of brokerage and custody products and services in collaboration with multiple groups within Fidelity, including product, client experience, risk, compliance, finance, sales, technology, and marketing </li><li>Working and collaborating with the FI/FBOT Legal team and other colleagues in Legal as well as in Risk and Compliance to meet the needs of the FI/FBOT businesses </li><li>Providing advice and training as needed to all levels of the business regarding existing and proposed rules and regulations </li> <li>Developing an advanced understanding of the Custody segment business in order to recognize patterns, trends, potential areas of risk and provide legal advice accordingly to achieve business priorities </li></ul> The base salary range for this position is $124,000-$262,000 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 benefits 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. Certifications: Category: Legal

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