Note: Fidelity will not provide immigration sponsorship for this position.
Reporting to the Director, Cross-Enterprise Compliance GRC Program Lead, you will be part of the Compliance Framework and Program Management team. In this role, you will support the execution of a consistent, enterprise-wide approach to core compliance program capabilities, including regulatory inventory and change management. You will help drive the intake, triage, and initial assessment of regulatory developments, while maintaining a structured and reliable regulatory inventory.
You will partner across Compliance, Legal, Risk, Technology, and business teams to ensure regulatory developments are understood, assessed for applicability, and translated into clear, actionable outcomes. You will also contribute to broader team efforts to drive coordination and consistency in how regulatory obligations and change are managed across the enterprise.
What You’ll Do
Work within a dedicated team to execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.).
Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor).
Summarize regulatory updates into concise, actionable insights for stakeholders.
Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency.
Support workflow execution, tracking, and status visibility across regulatory change activities.
Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments.
Support reporting and metrics to improve enterprise visibility into regulatory change.
Identify trends and themes in regulatory developments and escalate as appropriate.
Bachelor’s degree or equivalent, with 3–5 years of relevant experience.
Familiarity with SEC, FINRA, or similar regulatory frameworks, including rules, guidance, enforcement actions, and exam activity.
Experience maintaining structured data, inventories, or records.
Experience supporting regulatory monitoring, intake, or triage activities in a financial services or regulated environment.
Experience with compliance processes or GRC platforms (e.g., Archer) is a plus.
Ability to assess applicability and document clear, structured disposition decisions.
Strong analytical and organizational skills with attention to detail.
Ability to translate complex regulatory information into clear, actionable summaries.
Strong collaboration skills in a matrixed environment.
Strong written and verbal communication skills.
Ability to manage multiple priorities and deliver high-quality work.
Support consistent, timely, and effective execution of regulatory intake and triage.
Contribute to a structured and reliable cross-enterprise regulatory inventory.
Improve visibility into regulatory change across the enterprise.
Support clear, data-driven insights based on regulatory risk to inform compliance decision-making.
The Compliance Framework and Program Management team is dedicated to developing and executing cross-enterprise compliance program elements, prioritizing opportunities to drive greater effectiveness and efficiencies across the function. The team leads work that supports cross enterprise regulatory change, compliance risk assessment, compliance policy standards, and standards for compliance risk and control documentation. The team partners closely with Compliance, Legal, Risk, Technology, and business partners to translate regulatory and governance strategy into actionable outcomes.
Compliance
Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Fidelity’s mission is to strengthen the financial well-being of our customers and deliver better outcomes for the clients and businesses we serve. Fidelity’s strength comes from the scale of our diversified, market-leading financial services businesses that serve individuals, families, employers, wealth management firms, and institutions. With assets under administration of $15.0 trillion, including discretionary assets of $5.9 trillion as of March 31, 2025, we focus on meeting the unique needs of a broad and growing customer base. Privately held for 78 years, Fidelity employs more than 77,000 associates across the United States, Ireland, and India.
For our Terms and Conditions, please visit http://go.fidelity.com/LIterms
