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**Senior Compliance Advisor** Serve as a trusted business partner within Fidelity's Compliance organization, promoting ethical conduct and commitment to regulatory, legal obligations. Key responsibilities include applying FINRA and SEC regulations (15c3-1, 15c3-3) to develop supervisory controls for broker-dealer operations, treasury, and accounting teams. Collaborate with internal partners to strengthen compliance programs amid changing regulatory landscapes and business activities. Requirements: - Proven expertise in broker-dealer regulatory environments, with a strong focus on The Net Capital and Customer Protection rules - Minimum 3-5 years in Compliance, Risk, Audit, or Legal roles, with a Bachelor's degree (MBA or JD preferred) - Strong analytical, organizational, critical thinking, and communication skills, with a track record of implementing process improvements - Proficient in working independently and managing competing priorities in fast-paced environments - Knowledge of 15c3-1, 15c3-3 regulations, and FINRA guidelines is essential This role is part of the Fidelity Institutional (FI) Compliance organization, supporting Operations, Treasury, Finance, Brokerage Accounting, and Client Experience teams. Applicants should be prepared for a full-time onsite working model.
- Compensation
- $85,000 – $171,000 USD
- City
- Not specified
- Country
- Not specified
Currency: $ (USD)
Full Job Description
Job Description:
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
As a Senior Compliance Advisor within the Fidelity Institutional (FI) Compliance organization, you will serve as an informed and trusted business partner who promotes a culture of ethical conduct and commitment to compliance, regulatory, and legal obligations. In this role, you will provide regulatory support to Operations, Treasury, and Accounting teams that operate within Fidelitys broker-dealers. You will apply FINRA and SEC regulations that govern the financial management and responsibilities of a broker-dealer to develop strong supervisory controls and associated procedures, specifically focused on 15c3-1, The Net Capital Rule and 15c3-3, the Customer Protection Rule. You will collaborate closely with Internal Controls, Audit, and other business partners to continuously strengthen the compliance program as the regulatory landscape and Fidelitys business activity changes.
The Expertise and Skills you Bring
Understanding the evolving broker-dealer regulatory environment; reviewing and analyzing regulatory requirements and potential impact to the broker-dealer.
Supporting the Regulatory Management Team by assisting with timely responses to regulatory exams.
Strong attention to detail.
Strong analytical, organizational, and critical thinking skills.
Positive interpersonal communication skills; ability to work independently and as part of a close-knit team.
Ability to work effectively managing competing priorities in a fast-moving, challenging regulatory environment.
Proven track record of implementing process improvements in previous roles.
4-year college degree required; MBA or JD is a plus.
Minimum 3-5 years of related experience in Compliance, Risk, Audit or Legal focused on The Net Capital and Customer Protection rules is preferred.
Team
This role is part of the Fidelity Institutional (FI) Compliance organization. Our team supports Operations, Treasury, Finance, Brokerage Accounting, and Client Experience.
Fidelitys Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidates 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 Fidelitys 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.
Certifications:
Category:
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Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
Company overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experience.
Reasonable accommodations
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation contact the HR Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop, and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Applicant screening
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
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