Senior Compliance Advisor, Fidelity Digital Assets® Compliance

Fidelity Investments•Jersey City, NJ

20h•Hybrid

About The Position

As a Senior Compliance Advisor within the Fidelity Digital Assets® Compliance team, you will act as a trusted business partner, fostering a culture of ethical conduct and commitment to compliance. This role involves extensive collaboration with various Fidelity teams, including Wealth & Brokerage, Fidelity Institutional, Workplace Investing, and Government Relations. You will work closely with the regulatory team to ensure ongoing compliance with customer complaint requirements and serve as a compliance resource for several cross-enterprise teams. A critical aspect of the role is developing and tracking effective policies, procedures, and controls. Fidelity Digital Assets® is a subsidiary of Fidelity Investments, focused on building products and services for institutional and retail investors in digital asset markets, leveraging years of research and development in blockchain technology. The Compliance Team is responsible for designing, implementing, and supporting compliance programs for these growing businesses, ensuring adherence to federal regulations and requirements. The team assists in identifying and managing compliance and regulatory risks, supporting new and existing products, enhancing the overall control environment, shaping governance and communications, and building connections with other Fidelity Compliance functions.

Requirements

Bachelor’s degree with at least six years of compliance, risk, or regulatory experience in the financial services industry
Understanding of and experience with Regulation E and regulatory expectations related to complaints, disputes, and error resolution
Experience with operational activities, process/project management, and reporting
Unwavering dedication to accuracy and quality
Ability to build consensus among various stakeholders and work through competing priorities
Ability to apply sound judgment to spot issues and identify items requiring manager awareness
Excellent written and verbal communication and relationship management skills
Ability to balance multiple tasks and priorities simultaneously

Nice To Haves

consumer banking experience preferred

Responsibilities

Compliance oversight of the Complaints Management Program, including advising the business, reviewing complaint trends, and reporting to senior management
Managing regulatory inquiries related to the Complaints program, including as part of regulatory examinations
Responding to complaints received from regulatory agencies
Maintaining program documentation, including policies and procedures
Partnering with product and governance compliance teams on risk assessments of new and existing products and services
Preparing accurate reporting and visually appealing, professional, and effective presentations
Supporting ongoing regulator relationship management