Compliance Advisor

Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role

As a Compliance Advisor on the Product Communications and Marketing Compliance (PCMC) team, you will be part of a highly collaborative organization that provides compliance support to help mitigate compliance risk associated with advertising and marketing communications in a highly regulated environment. You will primarily support and advise Fidelity Institutional Marketing and Product teams. You will also partner with other Fidelity business units on cross-functional initiatives, campaigns, and strategic projects.

In this role, you will monitor the evolving regulatory landscape, provide compliance guidance and risk-based advice to internal stakeholders, and help develop disclosures, policies, and procedures to help ensure adherence to applicable laws, rules, and regulations. As your expertise and knowledge of supported business lines grows, you will assume increasing responsibility and become a trusted advisor on marketing campaigns, social media initiatives, product launches, and other key business activities. Success in this role requires strong collaboration across Compliance, Legal, Product, Marketing and Enterprise Compliance teams to support the Fidelity Institutional business.

 

The Expertise and Skills You Bring

• Bachelor’s degree required.
• Minimum 5 plus years of proven experience in financial services.

• Knowledge of FINRA 2210, SEC, and related IA Marketing rules, NFA/CFTC, and MSRB rules and regulations as needed.

• An understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products.
• Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
• Series 7 (preferred but not required).
• Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate.
• Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
• Effective communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.
• Ability to develop reports or summaries for management related to compliance matters and meaningful metrics, demonstrating proficiency with Adobe Acrobat, Microsoft PowerPoint and Microsoft Excel.

 

The Team

Compliance Advisors in the Fidelity Institutional (FI) PCMC team, within FI Compliance, assist the FI business, Enterprise Compliance and Asset Management in maintaining compliance with regulatory standards pertaining to communications with the public, sales training, and related subjects.

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.