Team Leader, Compliance Operations

Job Description:

Team Leader, Compliance Operations

The Role

Team Leader, Compliance Operations is a cornerstone of our Legal Operations team, collectively responsible for responding to various forms of legal process for Fidelity customer accounts (court orders, subpoenas, levies, and class actions). You will serve as team leader, assisting with workflow management, quality reviews, and training/coaching of senior analysts.  You will be a subject matter expert and point of escalation for all legal processes across multiple Fidelity business lines, including Fidelity Wealth and Brokerage. You will handle the more complex legal requests requiring regular engagement with senior business partners in Fidelity Legal, Risk and Compliance.  Additionally, you will lead and/or support medium- to large-scale projects designed to improve our business, including process automation efforts and the creation of policies, procedures, training materials, on-line resource content, and process flows.   

The Expertise and Skills You Bring:

• Minimum 3-5 years of experience in project management.  

• Five plus years of experience with Brokerage Operations and/or Compliance.

• Serve as a knowledge expert in all workflows (Court Orders, Class Action Lawsuits, Subpoenas and Levies) and provide Legal Operations support to various business partners.   

• Identify moderately complex problems/issues, develop remediation recommendations, and escalate as necessary to the management team for final decision/approval. Train new associates. 

• Point of contact for senior analysts on work reviews. 

•  Possesses in-depth knowledge of policies and procedures to advise others within team and business partners.  

• Execution of work is accurate, timely, and complete.   

• Articulates a point of view in a compelling and succinct manner.  

• Performs tasks that require discretion and judgment.  

• Able to overcome unexpected obstacles with little or no supervision.  

• Maintain trust, respect and credibility with peers and management by demonstrating expertise and delivery on commitments. 

• Partner and build networks across <