Senior Compliance Advisor

Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role

Join Fidelity’s Transfer Agent Compliance team as a Senior Compliance Advisor and play a key role in ensuring our SEC-registered transfer agents operate with the highest standards of regulatory compliance. In this role, you’ll collaborate across Fidelity’s business units to provide strategic guidance on federal securities laws, influence compliance practices, support regulatory change initiatives, and drive solutions to complex compliance challenges—all while strengthening Fidelity’s culture of compliance.

The Expertise and Skills You Bring

• You bring strong knowledge of federal securities laws and transfer agent operations, along with the ability to analyze complex regulatory requirements and translate them into practical business solutions.
• You are a strategic thinker and trusted advisor who can assess compliance risks, recommend effective mitigation strategies, communicate clearly with business partners and senior leaders, and manage multiple priorities in a fast-paced environment.
• Strong project management, problem-solving, and relationship-building skills are essential.
• You will help oversee Fidelity’s transfer agent compliance program by providing regulatory guidance, advising on complex compliance matters, and translating regulatory requirements into practical business solutions.
• You will assess compliance risks associated with new products, services, business initiatives, and regulatory changes; recommend effective risk mitigation strategies; drive remediation efforts; support regulatory examinations; and manage multiple priorities in a fast-paced environment.

 

The Team

Transfer Agent Compliance provides compliance oversight and regulatory support for Fidelity’s SEC-registered transfer agents: Fidelity Investments Institutional Operations Company LLC (FIIOC), National Financial Services LLC (NFS), and Fidelity Stock Transfer Solutions (FSTS). Through strong governance, oversight, and control frameworks, the team helps ensure compliance with federal securities laws while preventing, detecting, and remediating compliance risks across Fidelity’s transfer agent operations.

Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.

Certifications:

Category:

Compliance

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.