In-House Brokerage Operations Attorney

Jersey City, NJ
Full Time
Job #: 2000584 Exp.: 5 - 8 Years
The Purpose of Your Role
  • This attorney role is within the Fidelity Institutional (FI) Legal group, which is part of Fidelity’s central Legal Enterprise Services group, and would support Fidelity’s Brokerage Operations and Services Group (“OSG”) and Fidelity Capital Markets (“FCM”) divisions. OSG provides all brokerage operations and back-office services for Fidelity's institutional, retail and workplace businesses. These operations and services include international operations, security master & pricing, margin, securities settlements, collateral risk, custody, corporate actions, asset transfer, money movement, restricted stock services and treasury functions. FCM is the institutional trading arm of Fidelity Investments and provides trading products and services to buy-side institutions, hedge funds, and Fidelity's own business channels.
  • The optimal candidate will have expertise in broker-dealer and securities laws (Securities Exchange Act of 1934, Securities Act of 1933 and related rules and regulations, including FINRA rules). Applicants should possess law firm, in-house or regulatory experience related to brokerage operations, excellent writing skills, good judgment, effective communication skills, strong issue spotting skills, impeccable integrity, and a collaborative mindset.

The Expertise We’re Looking For
  • JD and at least 5-8 years of law firm, in-house or regulatory experience.
  • Admitted to practice or willing to secure bar admission in the relevant jurisdiction.
  • Knowledge of issues concerning brokerage Treasury, SEC Rule 15c3-3, and broker-dealer possession or control a plus.

The Skills You Bring

  • Knowledge of SEC, FINRA and other laws, rules and regulations applicable to broker-dealers, investment advisers and mutual funds.
  • Strong work ethic.
  • Ability to work independently under pressure in a fast-paced and dynamic environment handling multiple projects simultaneously with minimal day-to-day supervision.
  • Ability to effectively collaborate on projects and initiatives and build relationships within the Legal department as well as with business partners, compliance and risk while exhibiting behavior consistent with Fidelity’s culture and valuesExcellent presentation, oral communication, and interpersonal skills; ability to influence diverse groups of professionals.

The Value You Deliver
  • Strong analytical, investigatory and problem-solving skills; ability to quickly analyze complex factual situations, understand the broader business and firm context, and weigh relative risks to the firm in analyzing potential solutions.
  • A strong sense of ownership of tasks and responsibilities.
  • Strong contract drafting and negotiation skills.
  • Excellent judgment and attention to detail.
  • Strong writing and research skills, adaptive to and effective for different audiences.
  • Commitment to excellence and integrity.

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