Broker-Dealer Regulation Attorney

The FMR LLC Legal Department has a unique opportunity for an innovative attorney to join our Wealth and Brokerage legal team as Legal Counsel, Broker-Dealer Regulation. This role focuses on groundbreaking digital financial services offerings from Fidelity’s retail broker-dealers.

You will support ongoing broker-dealer operations, providing analysis of applicable financial services related-law, rules, and regulations, including FINRA Rules, Securities Exchange Act of 1934, and Regulation Best Interest. You will also integrate with Fidelity’s digital engagement product teams to support development of our suite of web and mobile investing platforms. These product teams are responsible for the end-to-end digital experience of our retail customers.

The Expertise and Skills You Bring

• 3-7 years of relevant law firm, industry, or regulatory experience as a practicing attorney
• Substantial background and experience advising FINRA member broker-dealers and U.S. Securities and Exchange Commission registered investment advisers
• Experience in the areas of account opening, trading platforms, application of artificial intelligence (AI) technology, cryptocurrency, and advanced analytics and planning experiences is appreciated
• Ability to work independently under pressure in a dynamic environment that will require you to manage multiple, competing tasks simultaneously
• Strategic and critical thinking skills, excellent judgment, and decision-making skills
• Excellent analytical, oral, and written communication skills, in particular the ability to reduce sophisticated legal issues to straightforward, practical analysis, and advice

The Value You Deliver

• A key member of Fidelity’s Personal Investing (PI) legal team, working closely with other members of Fidelity’s Legal department and cross-department colleagues in Risk and Compliance
• Proactively find solutions for businesses as they plan and execute on delivering new and updated digital experiences
• Analyze and provide guidance on evolving laws, rules, and regulations, and trends impacting digital financial services offerings
• Communicate with various regulatory bodies directly and through industry associations regarding changes in laws and policies that may have an impact on the business
• Recognize priority initiatives and effectively manage clients

The base salary range for this position is $103,000-$218,000 per year.

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.