Compliance Advisor - Communications Review

Compliance Advisor Communications Review Group

The Compliance Advisor is a key part of ensuring that regulatory requirements are met and aid in reducing Fidelity's regulatory risk. Our Communications Review Group needs a driven individual to add greater value for the team and our business partners. In this role, you will be a key part of the communications review community providing dedicated compliance support to business partners and working across the team to drive efficiencies. The role may also include opportunities to work on various compliance projects which drive improved experiences for colleagues and partners.

The Expertise and Skills You Bring :

• BA / BS in Business, Finance, Accounting, Communications, Technology, or related fields. Advanced degrees are a plus.
• Minimum 5-7 years of experience in the financial services industry, compliance or at a regulatory agency. Knowledge of FINRA, SEC, MSRB rules and the like preferred.
• Team player who takes initiative and works constructively with others to achieve team goals.
• Experience in agile working teams is highly preferred.
• You have excellent communication skills, when needed to present complex issues to various partners.
• You have demonstrated strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail.
• You are a proven teammate with good interpersonal skills and the ability to work collaboratively across functions while managing multiple priorities.
• The ability to prioritize and balance day-to-day responsibilities with longer term projects within a fast-paced and challenging environment.
• You have the ability to evaluate opportunities for improvements through technology and data-driven solutions.
• You are comfortable interpreting complex requirements to make recommendations.
• You are a self-starter and maintain good relationships.
• Series 7 and 24 are a plus.

Note : Fidelity is not providing immigration sponsorship for this position.

The Team :

This role is part of the Communications Review Group within Fidelity Wealth & Brokerage Compliance. The group provides excellent compliance support to our business partners. We ensure that communication materials are compliant, accurate and prepared in accordance with applicable policies and regulations. We work closely as a team and leverage cutting edge tools and processes to meet our objectives. A successful Compliance Advisor is instrumental in optimizing practices for increased efficiency.

Certifications : Compliance