Compliance Analyst

Job Description:

Compliance Analyst

The Role

As a member of the Fidelity Digital Assets (FDA) Compliance team, you will support the Marketing, Business Development, Product Strategy, and Distribution teams within FDA and the broader Fidelity Enterprise. The Compliance Analyst tackles growing levels of responsibility as they develop familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media interactions, and complex product launches while collaborating with Compliance professionals across channels, Legal, Marketing and Go-to-Market Planning, Product and Enterprise Compliance.

You will be responsible for: 

• Reviewing marketing, social media, sales training, E-communication surveillance alerts, and related subjects for compliance with regulatory standards

• Monitoring the regulatory environment for digital asset developments and partnering with cross-functional teams to address identified issues

• Advising internal business partners on compliance requirements and assisting in a general support function capacity

• Developing and maintaining disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations
  

The Expertise and SkillsYou Bring

• Bachelor’s degree

• Minimum 1+ years of proven experience in financial services

• General knowledge of communications and marketing rules, regulations, and guidelines .

• An understanding of FDA’s business model and distribution channels.

• Experience reviewing marketing and other types of communications for financial services firms preferred

• Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate

• Exceptional analytical skills, intellectual 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

The FDA Compliance Team (within Enterprise Compliance) is responsible for designing, implementing, and supporting the compliance programs for FDA’s growing institutional and retail businesses. This includes compliance with federal and state rules, regulations, and licensing requirements. The Team assists the FDA business in identifying and managing compliance and regulatory risks while:

• Supporting new and existing products and services;

• Supporting the organization’s overall control environment;

• Shaping governance, social media, and communications; and

• Building connections between Fidelity Digital Assets Compliance and other cross-Fidelity Compliance functions.

Certifications:

Category:

Compliance

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

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.