Compliance Advisor

Fidelity Investments•Merrimack, NH

13d

About The Position

As a Senior Compliance Advisor in Fidelity’s Workplace Investing Compliance organization, you will support the compliance program for managed record-keeper services provided to retirement plans. You will help ensure that solutions developed by business partners for clients adhere to applicable rules, regulations, and policies. The role involves leading projects that improve processes and support pivotal compliance-program initiatives. You will provide compliance guidance throughout the product and service lifecycle, help assess and address regulatory risks, support incidents and inquiries, maintain procedures and documentation, improve program reporting and effectiveness measures, and coordinate compliance projects. The role may be offered at an appropriate grade based on experience and expertise. The team leads compliance readiness for new legal requirements and supports workplace products and services, including retirement plan offerings and ancillary services. It works with client-facing, participant-facing, operations, and product management functions, as well as Legal and Risk partners, to help achieve business objectives compliantly.

Requirements

Bachelor’s degree or equivalent experience.
Experience in retirement plan operations, compliance, project management, risk management, or a related control function.
Experience supporting workplace retirement products or services, such as defined contribution, defined benefit, non-qualified, tax-exempt, pooled employer plan, or directed record-keeper services.
Experience reviewing, updating, or maintaining compliance policies, procedures, process documentation, controls, job aids, or playbooks.
Program or project management experience, including coordinating work across organizational lines and driving open items to conclusion.
Flexibility and ability to influence, contribute to, and learn from teams within the compliance function.
Curiosity and sound judgment, including willingness to ask questions, learn the business, and connect regulatory requirements to practical business processes.
Strong attention to detail and ability to identify gaps, inconsistencies, emerging risks, and items requiring follow-up.
Critical-thinking and analytical skills, including the ability to identify, analyze, and help resolve problems independently and escalate matters when appropriate.
Strong interpersonal and influencing skills, with ability to build trusted relationships across Product, Legal, Risk, Operations, and Compliance.
Excellent verbal and written communication skills, including the ability to clearly present ideas, risks, decisions, and complex information across multiple channels.
Ability to respond to shifting priorities while maintaining progress on scheduled work, risk matters, exception requests, procedure updates, and project commitments.
Ability to plan and implement work in a timely manner, deliver objectives, manage partner expectations, and drive projects to completion.
Familiarity with Microsoft Office applications, including SharePoint.

Nice To Haves

Solid understanding of retirement plan compliance requirements and regulatory rules and agencies, including ERISA, the Department of Labor, the Internal Revenue Service, and related guidance.

Responsibilities

Provide compliance guidance to product teams throughout the product and service lifecycle, including advising on requirements, reviewing and approving internal and external materials, and supporting implementation, rollout, and post-launch governance.
Identify regulatory compliance risks and translate requirements, guidance, and compliance expectations into practical recommendations for business partners.
Support risk incidents through regulatory impact analysis, remediation actions, stakeholder updates, and identification of recurring themes or control gaps.
Review, update, and maintain compliance procedures and related process documentation to promote consistency, transparency, and audit readiness.
Communicate project status, issues, recommendations, and deliverables to internal partners, clarifying progress, required decisions, and stakeholder roles.
Coordinate written responses to regulator, court, or internal inquiries as appropriate.
Provide decision support to review and resolve compliance issues arising in workplace investing record-keeping plans, and support timely escalation when necessary.
Develop improved reporting and increase visibility and measurement of compliance program effectiveness.
Manage and deliver compliance projects, tracking milestones, dependencies, decisions, risks, and stakeholder commitments.
Support monitoring, review, and dissemination of requirements arising from new or modified laws, regulations, and other applicable guidance.
Build trusted relationships with business and control partners by being responsive, thoughtful, risk-aware, and focused on effective answers.