Compliance Advisor (RP)

Newsletter Jobs; Covington (KY); On-site; USD 105,000 - 135,000; Full time

Job summary

Fidelity is seeking a Registered Principal associate (RP) to review outbound communications for regulatory and policy compliance. The RP will identify non-compliant materials and coordinate with compliance and content owners to ensure compliant communications reach customers.

An onsite role with emphasis on ERISA, IRS/DOL, FINRA and SEC regulations; Series licenses required; strong communication and risk assessment skills are essential to success.

Qualifications

• 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

Responsibilities

• Review outbound communications and marketing materials to ensure compliance with applicable laws, rules, regulations, Fidelity policies
• Execute timely review and identification of non-compliant materials
• Consult with compliance and content owners to ensure compliant communications are distributed to customers

Skills

Series 7

Series 63

Series 24

Communications experience

Regulatory compliance

Effective communication

multitasking

Education

Bachelor's degree preferred

Job description

Fidelity will not provide immigration sponsorship for this position.

Job Description

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.