Are you a law graduate/ legal professional looking for job opportunities as a Director? This opportunity might be of interest to you!
About:
At Fidelity, their goal is to make financial expertise broadly accessible and effective in helping people live the lives they want. They do this by focusing on a diverse set of customers: – from 23 million people investing their life savings, to 20,000 businesses managing their employee benefits to 10,000 advisors needing innovative technology to invest their clients’ money. They offer investment management, retirement planning, portfolio guidance, brokerage, and many other financial products.
Privately held for nearly 70 years, they’ve always believed by providing investors with access to the information and expertise, they can help them achieve better results. That’s been their approach- innovative yet personal, compassionate yet responsible, grounded by a tireless work ethic—it is the heart of the Fidelity way.
Role:
Director
Area:
Local Regulatory Compliance
Qualifications:
- Bachelor’s degree in Legal, Accounting, Finance, Technology, Information Systems, or related fields. Qualified CS would add more value.
- 15-18 years of relevant regulatory Compliance experience in a Compliance function. Risk Management background will be an added advantage for performing Risk and Control assessments.
- Team player who takes initiative and works constructively with others to achieve team goals
- Ability to work on multiple tasks and manage priorities and workload
- Strong presentation, written, and interpersonal communication skills
- General knowledge of industry standards and best practices around regulatory compliance, control evaluations / testing, internal audit and risk management processes.
- Ability to credibly challenge, conduct tough conversations and effectively communicate with various levels of management, including senior leaders and executives.
- Ability to work simultaneously on multiple tasks
- Team player who works constructively with others to achieve team goals
- Prior experience developing and implementing cross functional programs
- Hands-on work style and ‘can do’ attitude with a strong desire to make things happen
Responsibilities:
- Empower the team’s success by developing a well thought out governance plan and process
- Manage the Roll-out of Regulatory Changes to applicable laws, rules and regulations for FMR India.
- Effectively manage the timely identification of regulatory change alerts
- Designing oversight reporting for the identification of Regulatory Change and tracking the compliance status
- Acts as an escalation point for regulatory changes
- Partners with External consultants/ internal stakeholders on Regulatory Changes to ensure regulatory changes are added within the system of record.
- Drive integration with Compliance teams aligned to Business Units
- Ensure adherence to Compliance standards, review any material changes to the Compliance requirements
- Implement integrated Compliance Risk oversight to actively discuss compliance risks and create reporting, escalation, and various governance routines
- Periodic aggregate reporting to various key stakeholders
- Supports initiatives and Enterprise wide Projects for the Risk group, tracking of project deliverables and tasks with a high degree of understanding of highly complex processes and systems and their interdependencies, and regulatory and internal control requirements
- Conducting deep dives into specific areas of focus based on Risk and Regulatory priorities
- Adept in performing legal and regulatory reviews to the laws of the country in which we do business
- Proficiency in reviewing and assessing process flows to detect potential risks, deficient controls, duplicated effort, extravagance, fraud, non-compliance with laws, regulations, and management policies
- BFSI Compliance experience, or equivalent in Risk Management, Controls and Regulations. Extensive experience in multiple domains of Banking Regulatory Compliance across LOBs and functions
- Seasoned Regulatory Compliance SME with sound understanding of regulatory landscape.
- Analytical skills and ability to breakdown regulations and assess impact.
- Ability to groom team members to develop SME skills in the Regulatory Compliance domain. Provide Advisory support to key senior stakeholders on Compliance requirements across functions HR, Finance, Real Estate etc.
- Has good knowledge of applicable local regulations and ability to perform impact analysis adeptly to changes in regulations
- Reporting and documentation skills
- Stakeholder management
- Assessing the adequacy and effectiveness of controls, compliance and governance processes
- Reporting on issues and solutions that improve Fidelity’s control environment
- Responding to change with a sense of urgency through continuous compliance risk assessment
How to Apply:
Interested candidates can Apply here (click here)
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