Senior Compliance Advisor
About The Position
As a Senior Compliance Advisor for the Fidelity Institutional & Fund and Brokerage Operations & Technology Regulatory Management team, you will be responsible for the following: Independently responding to regulatory inquiries accurately and in a timely manner. Drafting timely, detailed, and accurate written communications to industry regulators. Conduct detailed research and collaborate with business partners, compliance peers, and Legal. Identifying core regulatory and compliance issues in a trading environment. Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed, and determining whether to raise to management, the Firm’s legal department, or other business partners. As a Senior Compliance Advisor in Regulatory Management, you will have direct contact with the SEC, FINRA and other regulators on behalf of Fidelity Institutional (FI). You will be responsible for responding to regulatory inquiries related to Clearing, Custody, and Capital Markets. Other businesses you will support include Operations & Services group functions and enterprise-wide policies and functions impacting FI. We work to optimally be a phenomenal partner with regulators and work with integrity to protect Fidelity’s reputation!
Requirements
- Bachelor’s degree required, MBA or law degree a plus.
- 10+ years of financial services experience required, compliance or regulatory experience preferred.
- An understanding of the securities markets and associated regulations.
- Strong writing and oral communication skills.
- Interpersonal skills with the ability to partner, interact, collaborate and build trust with compliance colleagues, legal, risk and business partners in connection with responding to complex regulatory requests for information.
- Ability to thrive in high pressure situations and work independently in a fast-paced and dynamic environment while simultaneously managing a full caseload with minimal day-to-day supervision.
- Accountability and ownership of inquiries and exams assigned.
- Ability to proactively identify regulatory and compliance issues in connection with responding to regulatory inquiries and exam requests.
- Ability to collaborate with data analytics colleagues to request data in connection with responding to complex regulatory inquiries.
- Experience in reviewing large data sets.
Responsibilities
- Independently responding to regulatory inquiries accurately and in a timely manner.
- Drafting timely, detailed, and accurate written communications to industry regulators.
- Conduct detailed research and collaborate with business partners, compliance peers, and Legal.
- Identifying core regulatory and compliance issues in a trading environment.
- Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed, and determining whether to raise to management, the Firm’s legal department, or other business partners.
- Responding to regulatory inquiries related to Clearing, Custody, and Capital Markets.
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
