Senior Compliance Advisor
About The Position
The Senior Compliance Advisor will be responsible for providing a range of support to a trading desks and product areas within FCM. The advisor will provide technical and interpretative guidance to FCM personnel. Provide advisory support to FCM Equity and Options trading desks and supporting operations. Develop and maintain written supervisory procedures, compliance policies and other documentation. Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas. Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance requirements, supervisory infrastructure and control framework. Design and deliver targeted training to business personnel. Assist regulatory inquiries/exam staff in responding to relevant regulatory matters. Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, subscribing to key industry periodicals and being an active participant in industry groups such as SIFMA, FIF, and ICI. Partner with compliance colleagues and business partners on regulatory matters and surveillance issues. Fidelity Institutional Compliance is looking for a Senior Compliance Advisor to cover Fidelity Capital Markets (FCM). FCM is the trading arm of Fidelity Investments, executing equity, option, and fixed-income securities trades on behalf of institutional clients as well as many of Fidelity’s other businesses.
Requirements
- Subject matter expertise in one or more of the following areas: equity and options trade reporting platforms or operational trade support.
- An in-depth understanding of the securities markets and associated regulations.
- Strong written and oral communication skills.
- Ability to proactively identify core regulatory and compliance issues in a fluid trading environment.
- Effective relationship building skills to interact with colleagues and business partners.
- Interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization.
- Accountability and ownership of issues and initiatives, with an ability to independently exercise good judgment and see projects through to completion
- Ability to thrive in a fast-paced environment while managing multiple priorities
- Intellectual curiosity and sharp investigative skills, as well as strong analytical and problem-solving skills
- College degree required, business major preferred.
- Prior trade reporting compliance or product experience (i.e., CAT, CAT CAIS, LOPR, ACT, 605/606) is required. Or similar experience with a securities regulator.
Nice To Haves
- MBA or law degree a plus.
Responsibilities
- Provide advisory support to FCM Equity and Options trading desks and supporting operations.
- Develop and maintain written supervisory procedures, compliance policies and other documentation.
- Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas.
- Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance requirements, supervisory infrastructure and control framework.
- Design and deliver targeted training to business personnel.
- Assist regulatory inquiries/exam staff in responding to relevant regulatory matters.
- Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, subscribing to key industry periodicals and being an active participant in industry groups such as SIFMA, FIF, and ICI.
- Partner with compliance colleagues and business partners on regulatory matters and surveillance issues.
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
