Senior Compliance Advisor

Fidelity Investments • Smithfield, RI

3d

About The Position

Join Fidelity’s Transfer Agent Compliance team to help ensure its SEC-registered transfer agents operate in compliance with regulatory requirements. The Senior Compliance Advisor collaborates across business units to provide strategic guidance on federal securities laws, influence compliance practices, support regulatory change initiatives, and address complex compliance challenges while strengthening Fidelity’s culture of compliance.

The role helps oversee Fidelity’s transfer agent compliance program by providing regulatory guidance, advising on complex compliance matters, and translating regulatory requirements into practical business solutions. It assesses compliance risks related to new products, services, business initiatives, and regulatory changes; recommends risk mitigation strategies; drives remediation efforts; supports regulatory examinations; and manages multiple priorities in a fast-paced environment.

Transfer Agent Compliance provides compliance oversight and regulatory support for Fidelity’s SEC-registered transfer agents: Fidelity Investments Institutional Operations Company LLC (FIIOC), National Financial Services LLC (NFS), and Fidelity Stock Transfer Solutions (FSTS). The team uses governance, oversight, and control frameworks to support compliance with federal securities laws and prevent, detect, and remediate compliance risks across transfer agent operations.

Fidelity will not provide immigration sponsorship for this position. 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; this transition does not apply to fully remote roles. Fidelity’s business is governed by securities, investment, retirement-related, and other laws and regulations that may restrict hiring or association with individuals with certain criminal histories.

Requirements

• Strong knowledge of federal securities laws and transfer agent operations.
• Ability to analyze complex regulatory requirements and translate them into practical business solutions.
• Ability to assess compliance risks and recommend effective mitigation strategies.
• Clear communication skills for working with business partners and senior leaders.
• Strong project management, problem-solving, and relationship-building skills.
• Ability to manage multiple priorities in a fast-paced environment.

Responsibilities

• Provide regulatory guidance and advise on complex compliance matters concerning transfer agent operations.
• Help oversee Fidelity’s transfer agent compliance program.
• Translate regulatory requirements into practical business solutions.
• Assess compliance risks associated with new products, services, business initiatives, and regulatory changes.
• Recommend effective risk mitigation strategies and drive remediation efforts.
• Support regulatory examinations.
• Collaborate across Fidelity business units and communicate with business partners and senior leaders.
• Support regulatory change initiatives and help strengthen Fidelity’s culture of compliance.
• Manage multiple priorities in a fast-paced environment.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed