Senior Compliance Advisor
Job Description:
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
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.
The Expertise and Skills you Bring
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.
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; MBA or JD is a plus.
Minimum 3-5 years of related experience in Compliance, Risk, Audit or Legal focused on The Net Capital and Customer Protection rules is preferred.
Team
This role is part of the Fidelity Institutional (FI) Compliance organization. Our team supports Operations, Treasury, Finance, Brokerage Accounting, and Client Experience.
Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
