Senior Compliance Advisor

About the role

The Role As a Senior Compliance Advisor within the Fidelity Institutional (FI) Compliance organization, you will serve as an informed and trusted business partner who promotes a culture of ethical conduct and commitment to compliance, regulatory, and legal obligations. In this role, you will provide regulatory support to Operations, Treasury, and Accounting teams that operate within Fidelity’s broker-dealers. You will apply FINRA and SEC regulations that govern the financial management and responsibilities of a broker-dealer to develop strong supervisory controls and associated procedures, specifically focused on 15c3-1, The Net Capital Rule and 15c3-3, the Customer Protection Rule. You will collaborate closely with Internal Controls, Audit, and other business partners to continuously strengthen the compliance program as the regulatory landscape and Fidelity’s business activity changes.

Responsibilities

• Understanding the evolving broker-dealer regulatory environment; reviewing and analyzing regulatory requirements and potential impact to the broker-dealer.
• Supporting the Regulatory Management Team by assisting with timely responses to regulatory exams.
• Strong attention to detail.
• Strong analytical, organizational, and critical thinking skills.
• Positive interpersonal communication skills; ability to work independently and as part of a close-knit team.
• Able to work effectively managing competing priorities in a fast-moving, challenging regulatory environment.
• Proven track record of implementing process improvements in previous roles.

Requirements

• 4-year college degree required; MBA or JD is a plus.
• Minimum 3-5 years of related experience in Compliance, Risk, Audit or Legal focused on The Net Capital and Customer Protection rules is preferred.

Skills

• Understanding the evolving broker-dealer regulatory environment.
• Reviewing and analyzing regulatory requirements and potential impact to the broker-dealer.
• Assisting with timely responses to regulatory exams.
• Strong attention to detail.
• Strong analytical, organizational, and critical thinking skills.
• Positive interpersonal communication skills; ability to work independently and as part of a close-knit team.
• Ability to work effectively managing competing priorities in a fast-moving, challenging regulatory environment.
• Proven track record of implementing process improvements in previous roles.

Benefits

• Comprehensive health care coverage and emotional well-being support.
• Market-leading retirement.
• Generous paid time off and parental leave.
• Charitable giving employee match program.
• Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.

Pay

The base salary range for this position is $85,000-171,000 USD 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.

Schedule

Fidelity’s 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.