Senior Compliance Advisor
About The Position
As a Senior Compliance Advisor for the Product Communications and Marketing Compliance team (PCMC), you will be part of a highly collaborative team that primarily supports the Marketing, Product and Distribution, Custody and Clearing and Platform teams within FI, and may partner with other business units such as Asset Management Compliance, Enterprise Compliance, Wealth & Brokerage and others on a range of cross-firm initiatives, campaigns and projects. You will also be responsible for monitoring the regulatory environment, advising and providing guidance to internal partners, and developing disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations. The Senior Compliance Advisors take on growing levels of responsibility as they develop their familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media engagement and product launches while collaborating with Compliance professionals, Legal, Product and Enterprise Compliance.
Requirements
- Bachelor’s degree
- Minimum 5+ years of proven experience in financial services
- Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed
- An understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products
- Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred
- Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate
- Exceptional analytical skills and the curiosity and ability to learn new and complex concepts
- Experience with Excel and PowerPoint
- Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels
Nice To Haves
- Series 7 (preferred but not required)
Responsibilities
- Monitoring the regulatory environment
- Advising and providing guidance to internal partners
- Developing disclosures, policies, and procedures
- Ensuring compliance with applicable rules and regulations
- Engaging in marketing campaigns, social media engagement and product launches
- Collaborating with Compliance professionals, Legal, Product and Enterprise Compliance
Benefits
- Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
