Associate Compliance Analyst
Project Management / Professional Services
Full Time
Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments! We are currently sourcing for a Due Diligence Analyst to work in our Smithfield RI, Boston MA, Merrimack NH or Westlake TX site.
The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance, customer protection, and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and are committed to providing sound and consistent guidance that mitigates conflicts of interest while allowing associates to engage in personal activities.
As a Compliance Analyst you will focus on the Political Law and Outside Business Activities (OBA) programs. For the Political Law program you will execute program controls designed to ensure Fidelity’s continued compliance with federal, state, and local pay-to-play, lobbying, and campaign finance laws. In addition, you will perform due diligence required to onboard new employees subject to pay-to-play laws. For the OBA team, you will carefully review associates’ OBA requests for regulatory risk, reputational risk, and conflicts with Fidelity business. For both programs, you will draft and communicate nuanced and tailored conditions to mitigate identified risks. As discrete issues arise, you will perform detailed research and provide recommendations to Ethics Office management. You will provide valued guidance to Fidelity associates at all levels, including senior leadership. Although your role will initially be focused on the Political Law and OBA programs, you will have opportunities to cross-train with other programs, including Gifts and Entertainment and Personal Conflicts of Interest. As a member of the broader Conflicts Team, you will work closely with and have opportunities to learn from other Ethics Office and compliance teams, business partners across Fidelity, and legal counsel.
The Expertise You Have
The Skills You Bring
The Value You Deliver
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.
The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance, customer protection, and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and are committed to providing sound and consistent guidance that mitigates conflicts of interest while allowing associates to engage in personal activities.
As a Compliance Analyst you will focus on the Political Law and Outside Business Activities (OBA) programs. For the Political Law program you will execute program controls designed to ensure Fidelity’s continued compliance with federal, state, and local pay-to-play, lobbying, and campaign finance laws. In addition, you will perform due diligence required to onboard new employees subject to pay-to-play laws. For the OBA team, you will carefully review associates’ OBA requests for regulatory risk, reputational risk, and conflicts with Fidelity business. For both programs, you will draft and communicate nuanced and tailored conditions to mitigate identified risks. As discrete issues arise, you will perform detailed research and provide recommendations to Ethics Office management. You will provide valued guidance to Fidelity associates at all levels, including senior leadership. Although your role will initially be focused on the Political Law and OBA programs, you will have opportunities to cross-train with other programs, including Gifts and Entertainment and Personal Conflicts of Interest. As a member of the broader Conflicts Team, you will work closely with and have opportunities to learn from other Ethics Office and compliance teams, business partners across Fidelity, and legal counsel.
The Expertise You Have
- Bachelor’s degree with at least 2-3 years of work experience
- Experience with operational activities, process/project management, and reporting
- Knowledge of compliance, risk, audit, or legal functions preferred
- Proficient in Excel and interested in proactively seeking out new technology-based solutions for internal processes
The Skills You Bring
- Outstanding written and verbal communication skills
- Committed and collaborative teammate with strong critical thinking, analytical, and investigative skills with the ability to work independently, multi-task, and prioritize
- Unwavering dedication to accuracy and quality, continuous learning, and process improvement
- Ability to apply sound judgment to spot issues and identify items requiring manager awareness
The Value You Deliver
- You work efficiently, but with attention to detail, to ensure work is performed timely and accurately
- You collaborate effectively with business and compliance partners to ensure employees are properly onboarded, maintenance of pay-to-play associate populations, and timely filing of lobbying reports and registrations
- You provide clear, reliable, and consistent advice to associates to help them meet their compliance obligations
- You deliver complete and accurate reporting and visually appealing, professional, and effective presentations
- You draft and maintain comprehensive operating procedures
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.