Regulatory Compliance Strategist — Marketing Materials

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

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.