Compliance Advisor

Fidelity•Smithfield, RI

About The Position

As a Compliance Advisor on Fidelity’s Product Communications and Marketing Compliance (PCMC) team, you will provide compliance support to help mitigate risk associated with advertising and marketing communications in a highly regulated environment. You will primarily support and advise Fidelity Institutional Marketing and Product teams, while also partnering with other Fidelity business units on cross-functional initiatives, campaigns, and strategic projects. You will monitor the evolving regulatory landscape, provide compliance guidance and risk-based advice to internal stakeholders, and help develop disclosures, policies, and procedures to support adherence to applicable laws, rules, and regulations. As your expertise and knowledge of supported business lines grow, you will take on increasing responsibility and become a trusted advisor on marketing campaigns, social media initiatives, product launches, and other key business activities. Success requires close collaboration across Compliance, Legal, Product, Marketing, and Enterprise Compliance teams in support of the Fidelity Institutional business.

Requirements

Bachelor’s degree required.
Minimum of 5+ years of proven experience in financial services.
Knowledge of FINRA 2210, SEC, and related Investment Adviser Marketing rules, NFA/CFTC, and MSRB rules and regulations as needed.
Ability to work in a fast-paced environment, balance immediate deadlines with longer-term projects, and prioritize appropriately.
Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
Effective communication skills and the ability to engage, establish relationships, and influence partners across the organization at all levels.
Proficiency with Adobe Acrobat, Microsoft PowerPoint, and Microsoft Excel.
Fidelity will not provide immigration sponsorship for this position.

Nice To Haves

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.
Series 7 certification (preferred but not required).

Responsibilities

Provide compliance support to mitigate risk associated with advertising and marketing communications.
Support and advise Fidelity Institutional Marketing and Product teams.
Partner with other Fidelity business units on cross-functional initiatives, campaigns, and strategic projects.
Monitor the evolving regulatory landscape.
Provide compliance guidance and risk-based advice to internal stakeholders.
Help develop disclosures, policies, and procedures to support adherence to applicable laws, rules, and regulations.
Advise on marketing campaigns, social media initiatives, product launches, and other key business activities.
Collaborate with Compliance, Legal, Product, Marketing, and Enterprise Compliance teams.
Assist the FI business, Enterprise Compliance, and Asset Management in maintaining compliance with regulatory standards concerning communications with the public, sales training, and related subjects.
Develop reports or summaries for management related to compliance matters and meaningful metrics.