Senior Compliance Advisor

Fidelity Investments•Jersey City, NJ

4d•$85,000 - $171,000•Onsite

About The Position

As a Senior Compliance Advisor within the Fidelity Institutional (FI) Compliance organization, you will serve as an informed and trusted business partner who promotes a culture of ethical conduct and commitment to compliance, regulatory, and legal obligations. In this role, you will provide regulatory support to Operations, Treasury, and Accounting teams that operate within Fidelity’s broker-dealers. You will apply FINRA and SEC regulations that govern the financial management and responsibilities of a broker-dealer to develop strong supervisory controls and associated procedures, specifically focused on 15c3-1, The Net Capital Rule and 15c3-3, the Customer Protection Rule. You will collaborate closely with Internal Controls, Audit, and other business partners to continuously strengthen the compliance program as the regulatory landscape and Fidelity’s business activity changes.

Requirements

Understanding the evolving broker-dealer regulatory environment.
Reviewing and analyzing regulatory requirements and potential impact to the broker-dealer.
Strong attention to detail.
Strong analytical, organizational, and critical thinking skills.
Positive interpersonal communication skills; ability to work independently and as part of a close-knit team.
Ability to work effectively managing competing priorities in a fast-moving, challenging regulatory environment.
Proven track record of implementing process improvements in previous roles.
4-year college degree required.
Minimum 3-5 years of related experience in Compliance, Risk, Audit or Legal focused on The Net Capital and Customer Protection rules is preferred.

Nice To Haves

MBA or JD is a plus.

Responsibilities

Provide regulatory support to Operations, Treasury, and Accounting teams that operate within Fidelity’s broker-dealers.
Apply FINRA and SEC regulations that govern the financial management and responsibilities of a broker-dealer to develop strong supervisory controls and associated procedures, specifically focused on 15c3-1, The Net Capital Rule and 15c3-3, the Customer Protection Rule.
Collaborate closely with Internal Controls, Audit, and other business partners to continuously strengthen the compliance program as the regulatory landscape and Fidelity’s business activity changes.
Assist with timely responses to regulatory exams.