Senior Compliance Advisor

Fidelity • Smithfield, RI

1d

About The Position

Join Fidelity’s Transfer Agent Compliance team as a Senior Compliance Advisor, helping ensure Fidelity’s SEC-registered transfer agents meet high standards of regulatory compliance. The role collaborates across Fidelity business units to provide strategic guidance on federal securities laws, influence compliance practices, support regulatory change initiatives, and address complex compliance challenges while strengthening the company’s culture of compliance.

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

The Transfer Agent Compliance team 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). Through governance, oversight, and control frameworks, the team works to ensure compliance with federal securities laws and prevent, detect, and remediate compliance risks across transfer agent operations.

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. The transition does not apply to fully remote roles. Fidelity will not provide immigration sponsorship for this position. Applicable laws and regulations may restrict Fidelity from hiring or associating 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.
• Strategic thinking and the ability to serve as a trusted advisor.
• Ability to assess compliance risks and recommend effective mitigation strategies.
• Clear communication skills 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 on federal securities laws and transfer agent operations.
• Advise on complex compliance matters and 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 business units and influence compliance practices.
• Support regulatory change initiatives and help strengthen Fidelity’s culture of compliance.
• Help oversee the transfer agent compliance program and its governance, oversight, and control frameworks.

What This Job Offers

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