Fidelity Investments Compliance Advisor in Boston, Massachusetts
The Purpose of Your Role
The Compliance Analyst will be responsible for providing a broad range of direct advisory support to FCM desks and product areas. The candidate will interact with varying levels of Business Unit officers and compliance colleagues. The advisor would be expected to investigate potential issues and communicate with other Compliance colleagues and/or business associates to remediate such issues.
The Expertise We’re Looking For
MBA or law degree a plus.
Minimum 3 years of experience in a trading environment or experience with a securities regulator.
Series 7 (or obtain within six months of hire).
The Skills You Bring
Interpersonal – Ability to partner, interact, collaborate, build trust, negotiate with and influence staff from all levels of the organization.
Communication – Precise and accurate communication skills are critical to the candidate’s effectiveness. Written documents include Compliance Notices, Policies and Written Supervisory Procedures, Assessments, and power point presentations. Verbal communications range from daily interactions with desk staff. In addition, the candidate should be able to accurately and succinctly explain issues to Compliance management, along with his/her recommendation for resolving.
Accountability and Judgment – Ability to own issues and initiatives, and see them through to their proper completion. Similarly, the candidate must exercise sound judgment with respect to his/her decision making process.
Knowledge – Strong understanding of securities markets and associated regulations.
Analytical - Ability to identify core regulatory and compliance issues in a fluid trading environment.
How Your Work Impacts the Organization
FI Capital Markets Compliance is part of the FI Compliance Department. Its responsibilities include covering the Fidelity Capital Markets’ various businesses and requires interaction with affiliates, including Fidelity Brokerage Services and FMR LLC (the mutual fund family). Further, the team interacts daily with Legal, Risk, Finance, and Operations, among other constituents.
The Value You Deliver
Provide advisory support to multiple FCM desks and product areas.
Develop and maintain written supervisory procedures, Compliance policies and other documentation.
Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas.
Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance/supervisory infrastructure.
Design and deliver targeted training to business personnel.
Assist regulatory inquiries/exam staff with regard to relevant regulatory matters.
Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, subscribing to key industry periodicals and being an active participant in industry groups such as SIFMA, FIF, and ICI.
Partner with compliance colleagues and business partners on regulatory matters and surveillance escalations.
At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. For information about working at Fidelity, visit FidelityCareers.com
/ Fidelity Investments is an equal opportunity employer. /
Title: Compliance Advisor
Requisition ID: 1806325