Compliance Advisor (RP)

Fidelity • Westlake, TX

8d • Onsite

About The Position

The Registered Principal associate (RP) reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies. The RP is responsible for executing timely review and identification of any non-compliant materials and consulting with compliance and content owners to ensure complaint communications are distributed to customers.

Requirements

• Series 7, 63, 24 required
• Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures
• Strong ability to understand and communicate sophisticated regulatory requirements
• Effective communicator who is skilled at interactions with employees at all levels
• Ability to multi-task and prioritize work according to changing deliverables
• Ability to identify potential risks and issues and use good judgement to raise concerns
• High level of personal integrity and professionalism

Nice To Haves

• 4-year college degree preferred
• Directly related experience including communications, marketing or compliance experience preferred

Responsibilities

• Reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies.
• Executes timely review and identification of any non-compliant materials.
• Consults with compliance and content owners to ensure compliant communications are distributed to customers.
• Supports Fidelity’s 401k plan sponsors in the creation and distribution of Fidelity’s participant programs and delivery of communication and education.
• Works internally with key business partners like Communications Consultants, Communications Project Managers, Marketing, and Compliance to ensure all distributed communications comply with applicable laws, rules and regulations and Fidelity policies.

What This Job Offers

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