Director, Compliance

Company: Fidelity Investments
Location: Cambridge
Posted on: November 3, 2024

Job Description:

Job Description:The RoleThe Director will be responsible for assisting the administration of F-Prime Capital's compliance program, working with a multi-functional team of compliance, legal and business professionals. The Director will be expected to provide compliance support and guidance and have a significant role in protecting the interests of F-Prime. To ensure the preservation of F-Prime's reputation for excellence, the Director must demonstrate superior work ethic and leadership ability, commitment to F-Prime's values, and high-quality assurance standards.F-Prime is a venture capital firm affiliated with FMR LLC, the parent company of Fidelity Investments. - F-Prime invests in a wide spectrum of asset classes, typically in early-stage private companies either directly or through one or more third-party funds. - Such asset classes include biotechnology, therapeutics, technology, telecommunications, blockchain or other crypto related businesses, and disruptive sciences.This role will include a blend of at-home and in-office work in Cambridge.The Expertise and Skills You Bring Education and Experience:

• 5+ years compliance and/or regulatory experience in the financial services environment
• Knowledge of securities laws, private funds and venture capital is a plus
• Demonstrated record of analyzing complex matters
• 4-year college degree required, MBA or JD is a plusSkills and Knowledge:
  • Knowledge of the Investment Adviser Act of 1940
  • Strong analytical, organizational, and creative problem-solving skills
  • Ability to influence key decision makers through a combination of knowledge, reasoning, and relationships
  • Ability to pick-up new concepts quickly and consider unintended impacts of day-to-day decisions
  • Ability to work in a fast-paced environment and multi-task
  • Team player with strong interpersonal skills and the ability to work collaboratively across functionsDaily & Monthly Responsibilities:
    • Draft and review compliance policies and procedures in collaboration with F-Prime business professionals
    • Identify and raise matters to F-Prime's Vice President of Risk & Compliance
    • Advise on compliance and ethics policies, and matters involving potentially material, non-public information
    • Assist with risk assessments, audits, and regulatory filings.
    • Encourage a culture of diversity, inclusion, ownership, and empowerment
    • Thoughtful decision making to improve the associate experience while maintaining a strong culture of compliance
    • Intellectual curiosityThe TeamGlobal, private equity firm with > $2.5B AUM, investing in early to mid-stage healthcare companies primarily in biotechnology, medical devices, diagnostics, healthcare IT, and healthcare services. As part of the team, you will work collaboratively with F-Prime business professionals as a point of contact for compliance issues that arise within F-Prime.Certifications: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. blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks). 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 .
      We welcome those with experience in jobs such as Senior Accountant, Retail Sales Representative, and Accounts Payable Clerk and others in the Accounting and Finance to apply.

Keywords: Fidelity Investments, Pawtucket , Director, Compliance, Executive , Cambridge, Rhode Island