Senior Compliance Advisor

locations

Boston, MA

time type

Full time

posted on

Posted Yesterday

job requisition id

2115800

Job Description : Job title

Senior Compliance Advisor

The Team

Fidelity Institutional Compliance is looking for a Senior Compliance Advisor to cover Fidelity Capital Markets (FCM). FCM is the trading arm of Fidelity Investments, executing equity, option, and fixed-income securities trades on behalf of institutional clients as well as many of Fidelity's other businesses.

The Senior Compliance Advisor will be responsible for providing a range of support to a trading desks and product areas within FCM. The advisor will provide technical and interpretative guidance to FCM personnel.

The Expertise You Have (The order of these bullets do not matter)

• College degree required, business major preferred.
• MBA or law degree a plus.
• Prior trade reporting compliance or product experience (i.e., CAT, CAT CAIS, LOPR, ACT, 605 / 606) is required. Or similar experience with a securities regulator.

The Skills You Bring

The Value You Deliver

The base salary range for this position is $85,000-$143,000 per year.

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.

We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.

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.

Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.

Certifications : Category :

Compliance