Compliance Advisor

Job Description:

The Compliance Advisor position within the Personal Investing Compliance team is responsible for dedicated compliance support to business partners concerning the review and approval of retail communications with the public to ensure compliance with applicable laws, rules and regulations and Fidelity policies. This individual provides consultative assistance and informative services to business units in the resolution of compliance issues and participates in compliance related projects and initiatives. The Compliance Advisor is part of a team responsible for timely filing of communications with FINRA and administering various compliance related auditing programs and monitoring key compliance risks.

The Expertise and Skills You Bring

• 4-year college degree or equivalent work experience

• BA/BS degree required, JD, MBA, or advanced business degree a plus

• 5-7 years of financial services experience

• Shown ability to work and thrive in a matrixed/agile framework

• Self-starter, relationship builder, and problem solver

• Proficient in investigating and identifying risks and collaborating with colleagues and/or business partners in a fast moving and changing environment to develop and implement solutions.

• Effective communicator with strong writing skills

• Understanding of the legal and regulatory environment applicable to the financial services industry

• Familiarity with, or ability to quickly understand the legal and regulatory environment applicable to the financial services industry and Fidelity internal policies impacting communications with the public

• Ability to multi-task and balance day-to-day responsibilities with longer term projects within a fast-paced and challenging environment

• High level of personal integrity and professionalism

• FINRA Series 7 and 24 a plus

• 2-3 years in a compliance, risk, or legal role in financial services with a proven understanding of multiple regulatory rules and requirements (e.g. FINRA, SEC, ERISA, MSRB and state securities laws, etc.) a plus

• Spanish bilingual a plus

The Team

We provide dedicated compliance support with review and final approval of retail customer, workplace participant and plan sponsor communication and marketing materials to ensure the business units align with federal securities laws, ERISA, Fidelity policies and other applicable rules and regulations. We collaborate with business partners to develop creative, flexible, and integrated solutions to achieve business goals and protect against risk to the firm. We supervise legal and regulatory changes that impact the communication legal review process and ensure the timely identification, escalation, and implementation of changes.

#ComplianceJobs

Please see below for the salary range for work locations in Colorado only:

Please see below for the salary range for work locations in New York City, Westchester County, NY and Jersey City, NJ only:

Please see below for the salary range for work locations in California only:

Please see below for the salary range for work locations in Washington only:

Certifications:

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.

At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees' Choice Award, we have been recognized by our employees as a Best Place to Work in 2023. And you don't need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you've always imagined.

At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we’re calling “Dynamic Working”. Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, 5 consecutive days, every four weeks. These requirements are subject to change.

We invite you to Find Your Fidelity at fidelitycareers.com.

Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to accommodations @fmr.com, or by calling 800-835-5099, prompt 2, option 3.