Senior Compliance Advisor

Job Description:

Senior Compliance Advisor

The Role

Are you both a rule follower and an innovator? As a Senior Compliance Advisor, you will join our Workplace Investing & Healthcare (WI&HCG) team and help shape the future of Fidelity. In this role, you’ll primarily support Fidelity Stock Plan Services, providing advice and guidance to ensure compliance with key regulations and policies. You will guide compliance for products and services from development through rollout, monitor and interpret new laws and regulations, and collaborate across the organization to assess risk and drive decisions. You will also create policies, procedures, controls and training. Your work will improve reporting transparency and deliver quality decision support to resolve compliance issues and questions.

The Expertise and Skills You Bring

• Bachelor’s degree, or equivalent.

• Experience in brokerage compliance, equity compensation, audit and/or risk management (preferred).

• Strong knowledge of federal and state laws, regulations, and agencies.

• Strong interpersonal and influencing skills, with the ability to collaborate effectively across all levels of the organization.

• Excellent verbal and written communication skills, with the ability to present complex ideas clearly through multiple channels.

• Ability to analyze and resolve issues independently while managing shifting priorities.

• Familiarity with Workplace Investing products and services (preferred).

• Proficiency in Microsoft Office and SharePoint.

Note: Fidelity is not providing immigration sponsorship for this position

The Team

Our team manages compliance readiness for new regulations and supports a broad range of workplace products and services, including Defined Benefit/Contribution Recordkeeping, Health & Welfare Administration, HSAs, HR/Payroll, Medicare Services, and Stock Plan Services (U.S. & Global). We engage with the business across client-facing, participant-facing, operations, and agile product functions, and partner closely with Legal and Risk to achieve strategic goals in a compliant manner. Together, we protect our customers and Fidelity while enabling innovation and growth.

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. Some roles may have unique onsite requirements. Please consult with your recruiter for the specific expectations for this position.

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.