Regulatory Compliance Reviewer — Marketing Communications

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 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.