Manager, Regulatory Reporting, CAT Operations

The Role

We are looking for an Associate to join the Fidelity Capital Markets (FCM) Regulatory Reporting Operations Team responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for National Financial Services, Fidelity Brokerage Services and our Correspondents.

You will act as an interface between trading desks, operations teams, compliance, systems development teams, and other business partners that have an impact on Regulatory Reporting. You will play a key role in ensuring reporting obligations have been met through thoughtful data analysis and deep understanding of regulations and our trading infrastructure.

• Responsible for daily reconciliation, investigation, and resolution of reporting related issues. Working with the team to determine best approach in balancing short-term fix and long-term solution
• Acting as subject matter expert to internal and external business partners on regulatory reporting requirements
• Perform analysis of rule changes as well as internal business changes in order to understand impact on our reporting and determine necessary action
• Supporting our counterparts on Technology through the creation of requirements, solutioning, testing and implementation/validation

The Expertise and

Skills

• You Bring

• Series 7 required

• Experience/interest in the trade and position reporting requirements of a broker/dealer including but not limited to

• SEC Rules 605 and 606

• SEC Rule 613 Consolidated Audit Trail (CAT)

• Ambitious curiosity, you have a desire to understand why and how complex trading systems work and how they integrate into our reporting

• Knowledge/interest in equity market structure and electronic trading workflows (FIX messaging)

• Comfort with technology, including: Excel and SQL (Snowflake + Oracle DBs)

• Strong time management and prioritization skills.

• Excellent verbal and written communication skills and the ability to present material to senior leaders as well as peers.

• Team-player mentality, willing and able to shift priorities based on team needs. Delivering on individual tasks while contributing to larger team goals and projects.

The Team

This dynamic team is part of Fidelity Capital Markets. Fidelity’s broker-dealers, National Financial and Fidelity Brokerage Services, are required to send significant amounts of detailed trading data to various governmental and industry regulators such as FINRA CAT, the SEC and MSRB. The Regulatory Reporting group plays an integral role in ensuring that all trading activity has been accurately reported to the Regulatory agencies. The team’s directive is to analyze and identify issues or discrepancies in our reporting programs and work closely with the Operations and Technology teams to deliver a solution to address these. Issues with reporting can lead to inquiries, disciplinary action or fines.

Fidelity’s Onsite Working Model

Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles. The base salary range for this position is $74,000-141,000 USD 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.

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.

Certifications: Series 07 - FINRA

Category:

Brokerage Operations

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