Senior Compliance Strategist, Marketing & Product

Fidelity Investments Inc.; Merrimack (NH); Sur place; USD 120 000 - 160 000; Plein temps

Résumé du poste

Fidelity Investments Inc. is seeking a Senior Compliance Advisor for the Product Communications and Marketing Compliance (PCMC) team.

You will monitor regulatory developments, advise internal partners, and develop disclosures, policies, and procedures to ensure compliance across campaigns and product launches. Role involves collaborating with Marketing, Product, Distribution, and Platform teams, with potential engagement across wealth, brokerage, and asset management units.

Qualifications

• Bachelor’s degree required in a relevant field.
• Minimum 5+ years of proven experience in financial services.
• Knowledge of FINRA 2210, SEC IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
• Understanding Fidelity’s intermediary and/or institutional distribution channels and/or products.
• Experience reviewing marketing communications for broker/dealer and/or investment adviser firms preferred.

Responsabilités

• Monitor the regulatory environment and advise internal partners.
• Develop disclosures, policies, and procedures as needed to ensure compliance.
• Support Marketing, Product, Distribution, Custody and Clearing and Platform teams across campaigns and projects.
• Review marketing communications for broker/dealer and investment adviser firms and provide clear guidance.

Connaissances

Financial services experience

Regulatory knowledge

Excel

PowerPoint

Communication skills

Series 7 (preferred)

Analytical skills

Stakeholder engagement

Formation

Bachelor’s degree

Outils

Excel

PowerPoint

CRM systems

Description du poste

Fidelity Investments Inc. is seeking a Senior Compliance Advisor for the Product Communications and Marketing Compliance (PCMC) team.

You will monitor regulatory developments, advise internal partners, and develop disclosures, policies, and procedures to ensure compliance across campaigns and product launches. Role involves collaborating with Marketing, Product, Distribution, and Platform teams, with potential engagement across wealth, brokerage, and asset management units.