Compliance Advisor (RP)

About the role

The Registered Principal associate (RP) reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies. The RP is responsible for executing timely review and identification of any non-compliant materials and consulting with compliance and content owners to ensure compliant communications are distributed to customers.

Responsibilities

• Reviews outbound communication and marketing materials for compliance with applicable laws, rules and regulations and Fidelity policies.
• Timely review and identification of any non-compliant materials.
• Consult with compliance and content owners to ensure compliant communications are distributed to customers.

Requirements

• Series 7, 63, 24 required
• 4-year college degree preferred
• Directly related experience including communications, marketing or compliance experience preferred

Qualifications

• Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures
• Strong ability to understand and communicate sophisticated regulatory requirements
• Effective communicator who is skilled at interactions with employees at all levels
• Ability to multi-task and prioritize work according to changing deliverables
• Identify potential risks and issues and use good judgement to raise concerns
• High level of personal integrity and professionalism

Skills

• Series 7, 63, 24 required
• 4-year college degree preferred
• Directly related experience including communications, marketing or compliance experience preferred
• Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures
• Strong ability to understand and communicate sophisticated regulatory requirements
• Effective communicator who is skilled at interactions with employees at all levels
• Ability to multi-task and prioritize work according to changing deliverables
• Identify potential risks and issues and use good judgement to raise concerns
• High level of personal integrity and professionalism

Benefits

Fidelity will not provide immigration sponsorship for this position.

Pay

Details on pay are not specified.

Schedule

Details on schedule are not specified.

Team

We support Fidelity's 401k plan sponsors in the creation and distribution of Fidelity's participant programs and delivery of communication and education. You will work internally with key business partners like Communications Consultants, Communications Project Managers, Marketing, and Compliance to ensure all distributed communications comply with applicable laws, rules and regulations and Fidelity policies.

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.

Certifications

Certifications Category: Compliance