Compliance Advisor (RP)

Soteria Reinsurance Ltd.; Covington, Northern (KY, KY); Hybrid; USD 90,000 - 130,000; Full time

Job summary

Fidelity is seeking a Registered Principal associate to review outbound communications for compliance with applicable laws, rules and Fidelity policies. The role involves identifying non-compliant materials and collaborating with compliance and content owners to ensure timely release of compliant communications to customers.

The RP role requires licensing (Series 7, 63, 24) and a solid understanding of ERISA, IRS/DOL, FINRA and SEC regulations.

Qualifications

• Series 7, 63, 24 licenses required.
• 4-year college degree preferred.
• Experience in communications, marketing or compliance preferred.

Responsibilities

• Review outbound communications and marketing materials for compliance with laws, rules, regulations and Fidelity policies.
• Identify non-compliant materials and coordinate with compliance and content owners to remediate.
• Ensure compliant communications are distributed to customers in a timely manner.

Skills

Series 7

Series 63

Series 24

Regulatory knowledge

Communication skills

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.**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.