Posted 3 days ago
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**Senior Compliance Advisor**: Lead compliance for marketing efforts across Fidelity's diverse business units. Monitor regulatory environment, develop policies, and advise internal partners. Requires 5+ years in financial services, FINRA 2210, SEC, and related marketing rules knowledge. Must be adaptable, adept at Excel and PowerPoint, and possess excellent communication skills. Senior Compliance Advisors collaborate with cross-functional teams to ensure regulatory compliance in marketing campaigns, social media, and product launches.
- Compensation
- Not specified
- City
- Not specified
- Country
- United States
Currency: Not specified
Full Job Description
Job Description:
Senior Compliance Advisor
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
As a Senior Compliance Advisor for the Product Communications and Marketing Compliance team (PCMC), you will be part of a highly collaborative team that primarily supports the Marketing, Product and Distribution, Custody and Clearing and Platform teams within FI, and may partner with other business units such as Asset Management Compliance, Enterprise Compliance, Wealth & Brokerage and others on a range of cross-firm initiatives, campaigns and projects . You will also be responsible for monitoring the regulatory environment, advising and providing guidance to internal partners, and developing disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations. The Senior Compliance Advisors take on growing levels of responsibility as they develop their familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media engagement and product launches while collaborating with Compliance professionals, Legal, Product and Enterprise Compliance.
The Expertise and Skills You Bring
Bachelors degree.
Minimum 5+ years of proven experience in financial services.
Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
An understanding of Fidelitys intermediary and/or institutional distribution channels and/or products.
Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
Series 7 (preferred but not required).
Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate.
Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
Experience with Excel and PowerPoint.
Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.
The Team
Senior Compliance Advisors in the PCMC team, within FI Compliance, assist the FI business and Asset Management teams in maintaining compliance with regulatory standards pertaining to communications with the public, sales training, and related subjects.
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.
Certifications:
Category:
CompliancePlease 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.
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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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