Compliance Advisor

Fidelity Investments•Smithfield, RI

About The Position

As a Compliance Advisor on the Product Communications and Marketing Compliance (PCMC) team, the role provides compliance support to help mitigate risks associated with advertising and marketing communications in a highly regulated environment. The advisor primarily supports and advises Fidelity Institutional Marketing and Product teams and partners with other Fidelity business units on cross-functional initiatives, campaigns, and strategic projects. The role monitors the evolving regulatory landscape, provides compliance guidance and risk-based advice to internal stakeholders, and helps develop disclosures, policies, and procedures to support compliance with applicable laws, rules, and regulations. As expertise in supported business lines grows, the advisor assumes increasing responsibility and serves as a trusted advisor on marketing campaigns, social media initiatives, product launches, and other key business activities. The role requires close collaboration across Compliance, Legal, Product, Marketing, and Enterprise Compliance to support the Fidelity Institutional business. The Fidelity Institutional PCMC team, within FI Compliance, assists the FI business, Enterprise Compliance, and Asset Management in maintaining compliance with regulatory standards concerning communications with the public, sales training, and related subjects. Fidelity is transitioning to a full-time onsite working model through a phased regional and role-based rollout; current onsite expectations vary and may evolve. This transition does not apply to fully remote roles. Fidelity will not provide immigration sponsorship for this position.

Requirements

Bachelor’s degree required.
Minimum 5 plus years of proven experience in financial services.
Knowledge of FINRA 2210, SEC, and related IA Marketing rules, NFA/CFTC, and MSRB rules and regulations as needed.
Understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products.
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.

Nice To Haves

Experience reviewing marketing and other communications for broker/dealer firms and/or investment adviser firms preferred.
Series 7 preferred but not required.

Responsibilities

Provide compliance support to mitigate risks 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 pertaining to communications with the public, sales training, and related subjects.
Develop reports or summaries for management related to compliance matters and meaningful metrics.