Senior Compliance Advisor
Job Description:
Senior Compliance Advisor
The Role
As a Senior Compliance Advisor for the Fidelity Institutional & Fund and Brokerage Operations & Technology Regulatory Management team, you will be responsible for the following:
Independently responding to regulatory inquiries accurately and in a timely manner.
Drafting timely, detailed, and accurate written communications to industry regulators.
Conduct detailed research and collaborate with business partners, compliance peers, and Legal.
Identifying core regulatory and compliance issues in a trading environment.
Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed, and determining whether to raise to management, the Firm’s legal department, or other business partners.
The Expertise and Skills You Bring
Bachelor’s degree required, MBA or law degree a plus.
10+ years of financial services experience required, compliance or regulatory experience preferred.
An understanding of the securities markets and associated regulations.
Strong writing and oral communication skills.
Interpersonal skills with the ability to partner, interact, collaborate and build trust with compliance colleagues, legal, risk and business partners in connection with responding to complex regulatory requests for information.
Ability to thrive in high pressure situations and work independently in a fast-paced and dynamic environment while simultaneously managing a full caseload with minimal day-to-day supervision.
Accountability and ownership of inquiries and exams assigned.
Ability to proactively identify regulatory and compliance issues in connection with responding to regulatory inquiries and exam requests.
Ability to collaborate with data analytics colleagues to request data in connection with responding to complex regulatory inquiries.
Experience in reviewing large data sets.
Note: Fidelity is not providing immigration sponsorship for this position
The Team
As a Senior Compliance Advisor in Regulatory Management, you will have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI). You will be responsible for responding to regulatory inquiries related to Clearing, Custody, and Capital Markets. Other businesses you will support include Operations & Services group functions and enterprise-wide policies and functions impacting FI. We work to optimally be a phenomenal partner with regulators and work with integrity to protect Fidelity’s reputation!
The base salary range for this position is $85,000-171,000 USD per year.Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
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.
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.