Senior Compliance Advisor

About the role

The Role As a Senior Compliance Advisor for the Product Communications and Marketing Compliance team (PCMC), you will be part of a highly collaborative team that primarily supports the Marketing, Product and Distribution, Custody and Clearing and Platform teams within FI, and may partner with other business units such as Asset Management Compliance, Enterprise Compliance, Wealth & Brokerage and others on a range of cross-firm initiatives, campaigns and projects . You will also be responsible for monitoring the regulatory environment, advising and providing guidance to internal partners, and developing disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations.

Responsibilities

• Monitor the regulatory environment and advise internal partners on compliance matters.
• Develop disclosures, policies, and procedures to ensure compliance with applicable rules and regulations.
• Collaborate with Compliance professionals, Legal, Product and Enterprise Compliance on cross-firm initiatives, campaigns and projects.
• Assist the FI business and Asset Management teams in maintaining compliance with regulatory standards pertaining to communications with the public, sales training, and related subjects.

Requirements

• Bachelor’s degree.
• Minimum 5+ years of proven experience in financial services.
• Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
• An understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products.
• Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
• Series 7 (preferred but not required).
• Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
• Experience with Excel and PowerPoint.
• Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.

Qualifications

• Bachelor’s degree.
• Minimum 5+ years of proven experience in financial services.
• Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
• An understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products.
• Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
• Series 7 (preferred but not required).

Skills

• Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
• Experience with Excel and PowerPoint.
• Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.

Benefits

The benefits offered by Fidelity may vary depending on the location and role. Please refer to the company's official website for the most up-to-date information.

Pay

The pay scale for this role is competitive and commensurate with experience. Please refer to the company's official website for the most up-to-date information.

Schedule

The schedule for this role is flexible and can vary based on the needs of the business and the individual. Please refer to the company's official website for the most up-to-date information.

Note

Note: Fidelity will not provide immigration sponsorship for this position.