Associate Compliance Analyst – Ethics Office (Contractor)
Description
The Associate Compliance Analyst is part of a team responsible for providing service support to employees and performing administration of employee accounts, transactions, statements and required disclosures to ensure they meet the requirements of Fidelity’s Code of Ethics and Compliance policies.
The Team
Fidelity Compliance provides compliance policy oversight and advisory services that help Fidelity ensure compliance with Federal and State regulations, manage risk, protect our associates and our customers, and enhance business performance.
The Expertise You Have
The Skills You Bring
The Value You Deliver
Description
The Associate Compliance Analyst is part of a team responsible for providing service support to employees and performing administration of employee accounts, transactions, statements and required disclosures to ensure they meet the requirements of Fidelity’s Code of Ethics and Compliance policies.
The Team
Fidelity Compliance provides compliance policy oversight and advisory services that help Fidelity ensure compliance with Federal and State regulations, manage risk, protect our associates and our customers, and enhance business performance.
The Expertise You Have
- Bachelor’s degree required
- Previous phone or customer service and operations experience required
- 1-2 years of relevant experience in audit, regulatory, risk or compliance environment preferred
- Strong problem solving and data analytical skills
- Positive attitude and goal-driven
- Strong presentation, written, and interpersonal communication skills
The Skills You Bring
- You’re a problem-solver and inspire creative solutions
- You have an unwavering commitment to accuracy and quality
- You possess excellent organizational, operations, and process management skills
- You can handle multiple tasks and priorities simultaneously
- You are able to overcome unexpected obstacles with little or no supervision
- You possess strong research and analytical skills
- You thoughtfully and efficiently drive tasks to completion
- You have an excellent attention to detail and ability to communicate defects clearly with relevant information
- You apply sound judgment to spot issues, assess risks, and identify items requiring escalation
- You are proficient in common MS Office applications and are able to quickly learn and gain proficiency with internal websites, databases, and applications
The Value You Deliver
- The filing of initial registration applications (Forms U4), amended applications (Form U4 amendments), and requests to terminate registrations (Forms U5) with FINRA
- Administering employees’ personal trading account disclosures, statements, and transactions in support of trade surveillance
- Resolution of Error Queue items to ensure that statements received via physical mail are in good order
- Providing outstanding customer service to all levels of Fidelity associates regarding their registration and licensing needs and statement reporting requirements
- Performing various administrative duties, including mail handling and filing
- Analyzing Compliance requirements and rules to determine if potential business impact exists and escalating as appropriate
- Working with other team members to identify, resolve and address issues
- Maintaining strong working relationships with peers and managers within and across compliance teams (internally focused)