Fiscal Year

2024

Case Number

A-22355-77282

Case Status

Certified

Received Date

2023-04-26

Decision Date

2024-04-26

Refile

N

Original File Date

2024-01-01 01:11:57

Previous SWA Case Number State

Schedule A Sheepherder

N

Employer Name

FMR LLC

Employer Name Slug

fmr-llc

Employer Address 1

245 SUMMER STREET

Employer Address 2

Employer City

BOSTON

Employer City Slug

boston

Employer State

MASSACHUSETTS

Employer State Slug

massachusetts

Employer Country

UNITED STATES OF AMERICA

Employer Postal Code

2210

Employer Phone

617-563-6780

Employer Number of Employees

65000

Employer Year Commenced Business

1946

NAICS Code

52399

FW Ownership Interest

N

Employer Contact Name

Kumar Raman

Employer Contact Address 1

100 New Millennium Way

Employer Contact Address 2

Employer Contact City

Durham

Employer Contact State/Province

NORTH CAROLINA

Employer Contact Country

UNITED STATES OF AMERICA

Employer Contact Postal Code

27709

Employer Contact Phone

(800) 835-5099

Employer Contact Email

kumar.raman@fmr.com

Agent Attorney Name

Russell B Swapp

Agent Attorney Firm Name

Seyfarth Shaw LLP

Agent Attorney Phone

(617) 946-4905

Agent Attorney Address 1

2 Seaport Lane Seaport East

Agent Attorney Address 2

Suite 1200

Agent Attorney City

Boston

Agent Attorney State/Province

MASSACHUSETTS

Agent Attorney Country

UNITED STATES OF AMERICA

Agent Attorney Postal Code

2210

Agent Attorney Email

dlsmith@seyfarth.com

PW Track Number

P10022080995860

PW SOC Code

11-9199

PW SOC Title

Managers, All Other

PW Skill Level

N/A

PW Wage

115194.00

PW Unit of Pay

Year

PW Wage Source

Other

PW Determination Date

2022-09-26

PW Expiration Date

2023-06-30

Wage Offer From

115194.00

Wage Offer To

142000.00

Average Salary

128597.00

Wage Unit of Pay

Year

Worksite Address 1

12 Destiny Way

Worksite Address 2

Worksite City

Westlake

Worksite City Slug

westlake

Worksite State

TEXAS

Worksite Postal Code

76262

Job Title

Senior Manager, Compliance Operations

Job Title Slug

senior-manager-compliance-operations

Minimum Education

Bachelor's

Major Field of Study

Computer Science, Business Administration, Marketing, Engineering

Required Training

N

Required Experience

N

Required Experience Months

Accept Alternative Field of Study

Y

Accept Alternative Major Field of Study

Information Technology, Information Systems, Mathematics, or a closely related field

Accept Alternative Combination

Y

Accept Alternative Combination Education

Master's

Accept Alternative Combination Education Years

3

Accept Foreign Education

Y

Accept Alternative Occupation

Y

Accept Alternative Occupation Months

60

Accept Alternative Job Title

Senior Manager, Compliance Operations or closely related occupation CONTD IN H.14

Job Opportunity Requirements Normal

N

Foreign Language Required

N

Specific Skills

CONTD FROM F.6A Benchmark Database Finance, Accounting, and Legal Survey Report 2021 812021br br CONTD FROM H.10B managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.br br Education and Experiencebr br Bachelors degree or foreign education equivalent in Computer Science, Business Administration, Marketing, Engineering, Information Technology, Information Systems, Mathematics, or a closely related field and five 5 years of experience in the job offered or five 5 years of experience managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.br br Or, alternatively, Masters degree or foreign education equivalent in Computer Science, Business Administration, Marketing, Engineering, Information Technology, Information Systems, Mathematics, or a closely related field and three 3 years of experience in the job offered or three 3 years of experience managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.br br Skills and Knowledgebr br Candidate must also possessbr br Demonstrated Expertise DE identifying, verifying, and documenting requirements business, functional, and technical, including SEC and FINRA to support the development of complex application workflows and business processes for enterprise ethics and compliance registration and licensing applications.br br DE developing policies and procedures for covered securities, employee trade monitoring programs, and systems for compliance with SEC regulations 17j1, 38A1, and 204A.br br DE developing policies, procedures, reports, and workflows for FINRA registrations within FINRA Rules 1210, 1220,1230, and 4530.br br DE designing and implementing test and validation protocols for employee trade monitoring and registration and licensing systems and compliance reporting within a global investment products and services environment.

Combination Occupation

N

Offered to Applicant Foreign Worker

Y

Foreign Worker Live on Premises

N

Foreign Worker Live in Domestic Service

N

Foreign Worker Live in Domestic Service Count

Professional Occupation

Y

Application for College/University Teacher

N

SWA Job Order Start Date

2022-11-03

SWA Job Order End Date

2022-12-08

Sunday Edition Newspaper

Y

First Newspaper Name

The Dallas Morning News

First Advertisement Start Date

2022-11-20

Second Newspaper Ad Name

The Dallas Morning News

Second Advertisement Type

Newspaper

Second Ad Start Date

2022-11-27

Employer Website From Date

2022-11-03

Employer Website To Date

2022-12-08

Professional Organization Ad From Date

2024-01-01 01:11:57

Professional Organization Advertisement To Date

2024-01-01 01:11:57

Job Search Website From Date

2022-11-03

Job Search Website To Date

2022-11-18

Employee Referral Program From Date

2022-11-02

Employee Referral Program To Date

2022-11-18

Local Ethnic Paper From Date

2024-01-01 01:11:57

Local Ethnic Paper To Date

2024-01-01 01:11:57

Radio/TV Ad From Date

2024-01-01 01:11:57

Radio/TV Ad To Date

2024-01-01 01:11:57

Employer Received Payment

N

Posted Notice at Worksite

Y

Layoff in Past Six Months

N

Country of Citizenship

INDIA

Foreign Worker Birth Country

INDIA

Class of Admission

H-1B

Foreign Worker Education

Bachelor's

Foreign Worker Information: Major

BUSINESS ADMINISTRATION

Foreign Worker Years of Education Completed

2009

Foreign Worker Institution of Education

PONDICHERRY UNIVERSITY

Foreign Worker Education Institution Address 1

CHINNA KALAPET, KALAPET

Foreign Worker Education Institution Address 2

Foreign Worker Education Institution City

PUDUCHERRY

Foreign Worker Education Institution State/Province

TAMIL NADU

Foreign Worker Education Institution Country

INDIA

Foreign Worker Education Institution Postal Code

605014

Foreign Worker Experience with Employer

N

Foreign Worker Employer Pays for Education

N

Foreign Worker Currently Employed

Y

Employer Completed Application

N

Preparer Name

Russell B Swapp

Preparer Title

Attorney

Preparer Email

dlsmith@seyfarth.com

Employer Information Declaration Name

Kumar Raman

Employer Information Declaration Title

Director, Immigration Services