Job Description:
As a Senior Compliance Advisor for the Fidelity Institutional and Fund & Brokerage Operations & Technology Regulatory Management team, you will have direct contact with the SEC, FINRA and other regulators. You will be responsible for responding to regulatory inquiries and managing examinations related to Fidelity's Clearing, Custody, and Capital Markets divisions.
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. Written documents can include but are not limited to inquiry/exam responses and reports up to senior management. Oral communications can include meetings with business/legal/compliance partners or senior management with the ability to explain issues succinctly.
- 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 inquires 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
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The Team
This position is a key compliance resource in the Fidelity Institutional Compliance organization. Fidelity Institutional provides sophisticated offerings and solutions to broker-dealers, registered investment advisers, family offices, capital markets, trust services and retail segments.
The base salary range for this position is $81,000-$137,000 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.
Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.
Certifications:
Category:
Compliance