Regulatory Compliance Product Manager

Position Type :

Type Of Hire :

Education Desired :

Travel Percentage :

Job Description

Regulatory Compliance Product Manager

Job Description

Are you curious, motivated, and forward-thinking? At FIS you'll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented people empower us, and we believe in being part of a team that is open, collaborative, entrepreneurial, passionate and above all fun.

About the team:

The Capital Markets Securities Processing team is responsible for a number of post-trade solutions that are deployed for processing equities, fixed income, FX, mutual funds, derivatives, repos and other asset classes to sell-side brokers. These products include Securities Processing Manager (formerly Phase3), Professional and Investor Portal (formerly WealthStation), and Post Trade Processing platform (formerly Torstone). In addition to these core solutions, a host of ancillary modules are also deployed to customers. Our customer base is global with the highest concentration in North America followed by Europe. As our clients are highly regulated, there is a need to support them in terms of their regulatory and mandatory industry requirements.

About the role:

We are looking for an experienced Product Manager in the area of regulatory compliance and Industry requirements. The role will have specific oversight responsibility for regulatory and industry mandated initiatives for the Securities Processing group. It requires an experienced regulatory compliance professional with solid understanding of the securities industry. The role will report to the Global Head of Regulatory Compliance and Industry Affairs for Securities Processing.

What you will be doing:

• Assist the Global Head of Regulatory Compliance and Industry Affairs in setting the vision and strategy for managing regulatory and industry mandates across the Securities Processing solutions
• Keep abreast with the regulatory and industry mandates for broker-dealers through research and liaising with industry utilities and associations
• Prepare reports and data for internal teams (Product Management, Risk, Corporate Compliance, Internal Audit, and Senior Management, among others) as required
• Collaborate with the broader Product Management, Product Development, Professional Services, Client Experience teamsto ensure that regulatory and industry requirements and initiatives are met
• Participate in requirements gathering, soliciting input from Clients, Subject Matter Experts, and third parties as appropriate and assist other Product Managers in prioritizing requirements related to regulatory compliance and mandatory industry initiatives

What you bring:

• 7-10 years of experience in the securities industry particularly in regulatory compliance
• Broad-based, knowledge of US and global securities industry regulations and a demonstrated track record of advising on complex multi-faceted regulatory issues
• Good all-round knowledge of US Retail, Advisory/Wealth, Correspondent Clearing and Institutional operations
• Good understanding of SEC, FINRA, MSRB, Fed, and international rules such as MiFID, CREST; and good understanding of regulatory reporting requirements such as TRACE, MSRB, LOPR, TRAX
• Familiarity with industry utilities such as DTCC (DTC, FICC, NSCC), OCC, ECLR and industry services such ACATS, M2i
• Excellent communication, research, writing, and analytical skills, including drafting of compliance summaries and White Papers
• Skilled in prioritizing and managing multiple projects efficiently and driving complex projects to completion
• Strong interpersonal skills
• Team worker - able to establish and maintain effective working relationships with all levels within organization, internally and externally

Added bonus if you have:

• Exposure to Compliance and Industry matters within a Broker-Dealer
• Solid operations background
• Strong understanding of securities regulations and regulatory authorities worldwide
• Hold/previously held any of the FINRA licenses: Series 6, 7, 63 and 24

What we offer you:

At FIS, you can grow your career as far as you want to take it. Here's what else we offer:

• A multifaceted job with a high degree of responsibility and a broad spectrum of opportunities
• Personal and professional learning
• Inclusive, diverse work environment
• A work environment built on collaboration, flexibility and respect
• Time to support charities and give back to your community
• Competitive salary and benefits

Privacy Statement

FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice.

EEOC Statement

FIS is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics. The EEO is the Law poster is available here supplement document available here

For positions located in the US, the following conditions apply. If you are made a conditional offer of employment, you will be required to undergo a drug test. ADA Disclaimer: In developing this job description care was taken to include all competencies needed to successfully perform in this position. However, for Americans with Disabilities Act (ADA) purposes, the essential functions of the job may or may not have been described for purposes of ADA reasonable accommodation. All reasonable accommodation requests will be reviewed and evaluated on a case-by-case basis.

Sourcing Model

Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

#pridepass