Senior Compliance Advisor

Fidelity Investments • Jersey City, NJ

3d • $85,000 - $171,000 • Hybrid

About The Position

As a Senior Compliance Advisor within the Fidelity Institutional (FI) & Fund and Brokerage Operations & Technology (FBOT) 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 Operations of a broker-dealer to develop strong supervisory controls and associated procedures. 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

• 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, or Legal is preferred.

Nice To Haves

• MBA or JD is a plus.

Responsibilities

• Understanding the evolving broker-dealer regulatory environment; reviewing and analyzing regulatory requirements and potential impact to the broker-dealer.
• Supporting the Regulatory Management Team by assisting with timely responses to regulatory exams.
• Developing strong supervisory controls and associated procedures.
• Collaborating closely with Internal Controls, Audit, and other business partners to continuously strengthen the compliance program.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees