Senior Legal Analyst

Fidelity Investments Inc.; Smithfield (RI); Hybrid; USD 70,000 - 85,000; Full time

Job summary

A leading financial services firm is seeking a Legal Operations Senior Analyst responsible for interpreting and responding to legal and regulatory documents. The ideal candidate will possess strong legal knowledge, excellent communication skills, and the ability to analyze complex documents while managing compliance with regulatory requirements. This role also involves interacting with regulators and clients, making interpersonal skills essential. The position requires a Bachelor's degree and experience in the financial services sector.

Qualifications

• 1-3 years of legal, compliance, or regulatory experience required.
• Strong command of the written language is necessary.
• Experience in the financial services industry is preferred.

Responsibilities

• Interpret legal, governmental, or regulatory documents and respond accurately.
• Analyze court orders and determine enforceability.
• Manage subpoena requests and analyze the scope of documents required.

Skills

Legal interpretation

Regulatory analysis

Excellent communication skills

Organizational skills

Time management

Team collaboration

Education

Bachelor's degree

Paralegal certificate

Job description

Job Description:

The Role

The Legal Operations Senior Analyst will interpret, analyze, and respond to legal, government, or regulatory documents within a strict timeframe set by these entities. The Associate must perform these tasks while being cognizant of the real and potential risk and liability to Fidelity and its customers.

The Expertise You Have and Skills You Bring

• Bachelor's degree and/or equivalent (1-3) years of legal, compliance and/or regulatory experience.

• Experience in the financial services industry or legal setting.

• Paralegal certificate a plus

• Knowledge of the industry.

• Excellent interpersonal skills.

• Strong command of the written language.

• Excellent organizational and time-management skills.

• Independent and team contributor.

The Value You Deliver

• Interpret rules and regulations that govern a vast array of legal and regulatory documents. Working within these parameters to analyze, interpret, and respond to complex documents that that need precise and accurate responses to ensure that we respond appropriately to the legal, governmental or regulatory authority while not opening Fidelity Investments to lawsuits from out clients.

• Analyze court and administrative orders to determine whether they are enforceable and when it is appropriate restrict accounts or transfer assets in accordance to the legal documents.

• Analyze and respond to subpoena requests. The analyst must determine scope of production, what documents can be produced pursuant to the request and Fidelity’s policy and procedures

• Respond to Class Action requests

• Respond to child support, tax and federal levies.

• Be a team member who is expected to be responsible for a number of workflows as volumes require

• Regularly interact with regulators, attorneys, and customers on highly visible and complex items.

• Explain rationale for Fidelity's policy or position with respect to legal documents.

• Build and maintain internal and external working relationships necessary to elicit information and assistance in completing responses within strict timeframe.

• Develop strong command of the relevant rules, laws, and regulations, as well as Fidelity's internal policies and procedures.

• Some OT required based on volumes

Certifications:

Category:

Compliance

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

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.