Senior Compliance Advisor, Fidelity Digital Assets® Compliance
Job Description:
The Role
As a member of the Fidelity Digital Assets® Compliance team, you will serve as an informed and trusted business partner, promoting a culture of ethical conduct and commitment to compliance. You will also collaborate with many teams across the Fidelity organization, such as Wealth & Brokerage, Fidelity Institutional, Workplace Investing, and Government Relations.
In this role, you will work closely with our regulatory team to support ongoing compliance with regulatory customer complaint requirements. In addition, you will serve as a compliance resource for several cross-enterprise teams. You will also play a critical role in developing and tracking effective policies, procedures, and controls.
You will be responsible for:
- Compliance oversight of the Complaints Management Program, including advising the business, reviewing complaint trends, and reporting to senior management
- Managing regulatory inquiries related to the Complaints program, including as part of regulatory examinations
- Responding to complaints received from regulatory agencies
- Maintaining program documentation, including policies and procedures
- Partnering with product and governance compliance teams on risk assessments of new and existing products and services
- Preparing accurate reporting and visually appealing, professional, and effective presentations
- Supporting ongoing regulator relationship management
The Expertise and Skills You Bring
- Bachelor’s degree with at least six years of compliance, risk, or regulatory experience in the financial services industry, consumer banking experience preferred
- Understanding of and experience with Regulation E and regulatory expectations related to complaints, disputes, and error resolution
- Experience with operational activities, process/project management, and reporting
- Unwavering dedication to accuracy and quality
- Ability to build consensus among various stakeholders and work through competing priorities
- Ability to apply sound judgment to spot issues and identify items requiring manager awareness
- Excellent written and verbal communication and relationship management skills
- Ability to balance multiple tasks and priorities simultaneously
Note: Fidelity is not providing immigration sponsorship for this position
The Team
Fidelity Digital Assets® is a subsidiary of Fidelity Investments dedicated to building products and services that help institutional and retail investors access digital asset markets. Fidelity Investments began researching blockchain technology and digital assets solutions in 2014, where years of research and development have provided us with the deep expertise necessary to build the future of finance.
The Fidelity Digital Assets® Compliance Team is responsible for designing, implementing, and supporting the compliance programs for Fidelity Digital Assets® growing institutional and retail businesses. This includes compliance with federal regulations and requirements. The Team assists the Fidelity Digital Assets® 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 and communications; and
- Building connections between Fidelity Digital Assets® Compliance and other cross-Fidelity Compliance functions.
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. Please consult with your recruiter for the specific expectations for this position.