Compliance Advisor, Regulatory Change Management

Fidelity • Smithfield, RI

2d • Onsite

About The Position

The Compliance Advisor, Regulatory Change Management role reports to the Director, Cross-Enterprise Compliance GRC Program Lead and is part of the Compliance Framework and Program Management team. This role supports the execution of a consistent, enterprise-wide approach to core compliance program capabilities, specifically focusing on regulatory inventory and change management. The position involves driving the intake, triage, and initial assessment of regulatory developments, while maintaining a structured and reliable regulatory inventory. Collaboration with Compliance, Legal, Risk, Technology, and business teams is essential to ensure regulatory developments are understood, assessed for applicability, and translated into clear, actionable outcomes. The role also contributes to broader team efforts to enhance coordination and consistency in managing regulatory obligations and change across the enterprise.

Requirements

• Bachelor’s degree or equivalent, with 3–5 years of relevant experience.
• Familiarity with SEC, FINRA, or similar regulatory frameworks, including rules, guidance, enforcement actions, and exam activity.
• Experience maintaining structured data, inventories, or records.
• Experience supporting regulatory monitoring, intake, or triage activities in a financial services or regulated environment.
• Ability to assess applicability and document clear, structured disposition decisions.
• Strong analytical and organizational skills with attention to detail.
• Ability to translate complex regulatory information into clear, actionable summaries.
• Strong collaboration skills in a matrixed environment.
• Strong written and verbal communication skills.
• Ability to manage multiple priorities and deliver high-quality work.

Nice To Haves

• Experience with compliance processes or GRC platforms (e.g., Archer) is a plus.

Responsibilities

• Execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.).
• Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor).
• Summarize regulatory updates into concise, actionable insights for stakeholders.
• Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency.
• Support workflow execution, tracking, and status visibility across regulatory change activities.
• Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments.
• Support reporting and metrics to improve enterprise visibility into regulatory change.
• Identify trends and themes in regulatory developments and escalate as appropriate.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level