Compliance Advisor (RP)

Fidelity Investments; Covington (KY); On-site; USD 90,000 - 115,000; Full time

Job summary

Fidelity Investments seeks a Registered Principal associate to review outbound communications and marketing materials for regulatory compliance. You will identify non‑compliant content and advise with compliance and content owners to ensure timely, compliant customer communications.

The role requires knowledge of securities regulations (FINRA/SEC), strong communication skills, and the ability to prioritize multiple tasks in a fast-paced environment. Onsite presence is part of Fidelity's model.

Qualifications

• Series 7, 63, 24 required.
• 4-year college degree preferred.
• Experience in communications, marketing or compliance.
• Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations.
• Strong ability to understand and communicate regulatory requirements.
• Effective communicator with employees at all levels.
• Ability to multi-task and prioritize.
• High level of integrity and professionalism.

Responsibilities

• Review outbound communications and marketing materials for compliance with laws and Fidelity policies.
• Identify non‑compliant materials and consult with compliance and content owners.
• Ensure compliant communications are distributed to customers in a timely manner.

Skills

Series 7

Series 63

Series 24

Regulatory knowledge

Communication

Multi-tasking

Integrity

Education

4-year college degree

Job description

Job Description

Note: Fidelity will not provide immigration sponsorship for this position.

The Role

The Registered Principal associate (RP) reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies. The RP is responsible for executing timely review and identification of any non‑compliant materials and consulting with compliance and content owners to ensure complaint communications are distributed to customers.

Job Description

Note: Fidelity will not provide immigration sponsorship for this position.

The Role

The Registered Principal associate (RP) reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies. The RP is responsible for executing timely review and identification of any non‑compliant materials and consulting with compliance and content owners to ensure complaint communications are distributed to customers.

The Expertise And Skills You Bring

• Series 7, 63, 24 required
• 4-year college degree preferred
• Directly related experience including communications, marketing or compliance experience preferred
• Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures
• Strong ability to understand and communicate sophisticated regulatory requirements
• Effective communicator who is skilled at interactions with employees at all levels
• Ability to multi-task and prioritize work according to changing deliverables
• Ability to identify potential risks and issues and use good judgement to raise concerns
• High level of personal integrity and professionalism

The Team

We support Fidelity’s 401k plan sponsors in the creation and distribution of Fidelity’s participant programs and delivery of communication and education. You will work internally with key business partners like Communications Consultants, Communications Project Managers, Marketing, and Compliance to ensure all distributed communications comply with applicable laws, rules and regulations and Fidelity policies.

Fidelity’s 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: Compliance

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.