Job Description:

Note:

Fidelity is not providing immigration sponsorship for this position.

The Role

The Director position for Anti-Money Laundering Investigations Team (AML) exists within the Financial Crimes Investigations (FCI) Team, providing exceptional investigative leadership and expertise in handling complex financial cases including money laundering, terrorist financing, insider trading, securities fraud, market manipulation, and other regulatory or criminal violations. Critical and analytical thinking are necessary to present information that will cut through various investigative complexities and lead to accurate conclusions all while making decisions on complex matters and become a subject matter authority. Key responsibilities include:

• Provide leadership to the team.
• Ensure Fidelity is fulfilling its regulatory requirements with regards to AML.
• Support the Financial Crimes Program Office efforts while maintaining an effective AML Program.
• Collaborate with internal and external business partners including regulatory and law enforcement agencies.
• Protect Fidelity and its customers.

The Expertise and Skills You Bring

• Bachelor’s Degree or equivalent experience required
• Advanced Degree, MBA, JD, or CPA preferred
• Knowledge of Anti-Money Laundering (AML) regulations (Bank Secrecy Act of 1970, Money Laundering Control Act of 1970, USA Patriot Act of 2001)
• 5-7 years of experience in BSA/AML financial crimes compliance or comparable experience at a large financial institution, regulatory agency, law enforcement.
• Experience in a senior financial crimes compliance role in the securities and/or asset management industry, with demonstrated ability to operate across diverse business units, innovative product sets, and a broad array of customer segments
• Experience interacting and fostering productive relationships with regulatory agencies such as the SEC, FINRA, FinCEN, NYFDS and/or OCC
• Tech-savvy with proficiency in financial crimes compliance technologies, processes and workflows
• Certified Anti-Money Laundering Specialist (ACAMS)/Certified Fraud Examiner (CFE)/Certified AML and Fraud Professional (CAFP) is a plus
• Series 7 (Preferred or acquire within 12 months of hire)
• Series 9/10 or Series 24 (Preferred or acquire within 18 months of hire)
• Experience conducting or managing AML or Fraud investigations
• Ability to work under strict time constraints
• Experience working in financial services
• Trading Experience
• Good writing, communication and organizational skills
• Committed to teamwork
• Strong operational skills and vision for process enhancements

The Team

AML Investigations is part of FCI within the Compliance Organization. FCI strives to protect Fidelity’s businesses, clients, customers and reputation by providing effective and timely analytical and investigative services, enabling us to provide the optimal balance of risk management and customer experience.

AML Investigations is a specialized group responsible for investigating cases of suspicious activity and when necessary, filing Suspicious Activity Reports (SARs) with FinCEN (Financial Crimes Enforcement Network) a bureau of the US Treasury, whose mission is to safeguard the financial system through the collection, analysis, and dissemination of financial intelligence. The unit maintains key business partner relationships with Fidelity’s Financial Crimes Compliance Program Office as well as with regulatory entities and various law enforcement agencies.

Certifications:

Category:

Security
Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Some roles may have unique onsite requirements. Please consult with your recruiter for the specific expectations for this position.

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.