Senior Compliance Advisor

Fidelity Investments • Merrimack, NH

6d

About The Position

As a Senior Compliance Advisor on the Product Communications and Marketing Compliance team (PCMC), you will support the Marketing, Product and Distribution, Custody and Clearing, and Platform teams within FI. You may also partner with other business units, including Asset Management Compliance, Enterprise Compliance, and Wealth & Brokerage, on cross-firm initiatives, campaigns, and projects. The role monitors the regulatory environment, advises internal partners, and develops disclosures, policies, and procedures to help ensure compliance with applicable rules and regulations. As familiarity with supported business lines grows, the role takes on increasing responsibility, including full engagement in marketing campaigns, social media engagement, and product launches, in collaboration with Compliance professionals, Legal, Product, and Enterprise Compliance.

The PCMC team within FI Compliance assists FI business and Asset Management teams 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 rollout across regions and roles. Current onsite expectations vary by role and location and may evolve as the rollout continues; the transition does not apply to fully remote roles. Fidelity will not provide immigration sponsorship for this position. Hiring and association may be restricted for individuals with certain criminal histories under laws and regulations governing Fidelity’s business.

Requirements

• Bachelor’s degree.
• At least 5 years of proven experience in financial services.
• Knowledge of FINRA Rule 2210, SEC and related Investment Adviser Marketing rules, and 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, curiosity, and ability to learn new and complex concepts.
• Experience with Excel and PowerPoint.
• Superior written and oral communication skills, with the ability to engage, establish relationships, and influence partners across the organization at all levels.

Nice To Haves

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

Responsibilities

• Monitor the regulatory environment.
• Advise internal partners and provide guidance on compliance matters.
• Develop disclosures, policies, and procedures as needed to support compliance with applicable rules and regulations.
• Support FI business teams, including Marketing, Product and Distribution, Custody and Clearing, and Platform, and partner with other business units on cross-firm initiatives, campaigns, and projects.
• Engage in marketing campaigns, social media engagement, and product launches as familiarity with supported business lines develops.
• Assist FI business and Asset Management teams with compliance concerning communications with the public, sales training, and related subjects.

What This Job Offers

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