Job Description:

Vice President, Personal Trading and Inside Information: Ethics Office

The Role

The Head of Personal Trading and Inside Information leads a team that works across Fidelity to address potential conflicts of interest arising from associates’ personal investing activities. In this role you will guide the team as they maintain Fidelity’s Rules for Employee Investing and monitor for compliance with those rules, and you will drive technology solutions to facilitate that work.  You will also serve as a trusted advisor to business partners across Fidelity in addressing issues that arise under the Rules.

The Expertise and Skills You Have

• Ten years broad compliance and/or legal experience in the financial services industry
• Four-year college degree required; JD preferred
• FINRA Series 7 and 24 preferred
• Demonstrated success working collaboratively across various teams, including Legal, Operations, Risk, and Audit

The Value You Deliver

• Oversee the Trade Monitoring and Inside Information programs, including operational and analytical components to support compliance with Fidelity policy and securities laws
• Manage relationships across Fidelity and successfully influence key decision-makers on complex issues related to employee investment activity
• Advise associates and managers across the firm on Code of Ethics, personal trading, and inside information issues
• Partner closely with asset management, brokerage, venture capital, and digital assets teams to assess ongoing and new offerings and investment capabilities, and update policies and procedures to meet changing business needs
• Drive technology improvements to facilitate associate engagement with the Ethics Office and to improve the Ethics Office’s ability to efficiently monitor employee trading
• Quickly spot potential regulatory issues, synthesize information, and collaborate to make decisions
• Set strategic goals for the team and play a key role in guiding their performance and career development
• Encourage a culture of diversity, inclusion, ownership, and empowerment

The Team

The Ethics Office works closely with Compliance, Risk and Legal partners and with the business units to protect Fidelity’s brand and reputation by ensure ongoing compliance with our policies and applicable law. We focus on those policies that relate to employees’ personal conduct, including personal investing, outside business activities, personal conflicts of interest, registration and licensing, and private securities transactions.  We also provide training to associates across Fidelity on the policies Enterprise Compliance owns (e.g. Ethics Office, AML, Sanctions, eCommunications).  We are passionate about the associate experience and committed to providing sound and consistent guidance that effectively mitigates risks.

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