Regulatory Compliance Reviewer

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

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.