Senior Compliance Advisor

Fidelity; United States; On-site; USD 120,000 - 170,000; Full time

Job summary

Fidelity is seeking a Senior Compliance Advisor for the Product Communications and Marketing Compliance (PCMC) team. You will support Marketing, Product, Distribution, Custody and Clearing and Platform teams, advising on disclosures, policies, and procedures to ensure regulatory compliance.

In this role you will monitor the regulatory environment, review marketing materials for broker/dealer and investment adviser firms, and partner with Legal and Enterprise Compliance on cross‑firm initiatives.

Qualifications

• Bachelor's degree.
• Minimum 5+ years of proven experience in financial services.
• Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
• An understanding of Fidelity's intermediary and/or institutional distribution channels and/or products.
• Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
• Series 7 (preferred but not required).
• Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate.
• Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
• Experience with Excel and PowerPoint.
• Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.

Responsibilities

• Monitor regulatory environment and advise internal partners.
• Develop disclosures, policies, and procedures to ensure compliance.
• Review marketing materials for broker/dealer and investment adviser contexts.
• Collaborate with Legal, Product, and Enterprise Compliance on campaigns.

Skills

Regulatory knowledge

Analytical skills

Stakeholder engagement

Written and verbal communication

Education

Bachelor's degree

Tools

Excel

PowerPoint

Job description

Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role

As a Senior Compliance Advisor for the Product Communications and Marketing Compliance team (PCMC), you will be part of a highly collaborative team that primarily supports the Marketing, Product and Distribution, Custody and Clearing and Platform teams within FI, and may partner with other business units such as Asset Management Compliance, Enterprise Compliance, Wealth & Brokerage and others on a range of cross-firm initiatives, campaigns and projects . You will also be responsible for monitoring the regulatory environment, advising and providing guidance to internal partners, and developing disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations. The Senior Compliance Advisors take on growing levels of responsibility as they develop their familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media engagement and product launches while collaborating with Compliance professionals, Legal, Product and Enterprise Compliance.

The Expertise and Skills You Bring

• Bachelor's degree.
• Minimum 5+ years of proven experience in financial services.
• Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
• An understanding of Fidelity's intermediary and/or institutional distribution channels and/or products.
• Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
• Series 7 (preferred but not required).
• Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate.
• Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
• Experience with Excel and PowerPoint.
• Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.

The Team

Senior Compliance Advisors in the PCMC team, within FI Compliance, assist the FI business and Asset Management teams in maintaining compliance with regulatory standards pertaining to communications with the public, sales training, and related subjects.

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.

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.