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Senior Compliance Advisor
Fidelity Investments
Boston, MA, United States
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We are seeking a candidate who can thrive in a challenging, deadline-driven work environment. The ideal candidate will apply critical thinking to prioritize and process ongoing tasks, analyze complex requirements, and identify and implement process improvements. Our group is passionate about modernizing compliance through the use of data analytics and process automation. We are seeking a candidate who is just as driven as we are to find innovative solutions to address compliance requirements.
The Team
Fidelity’s reputation is built on trust. The mission of Enterprise Compliance is to maintain the firm’s unwavering integrity through the highest professional standards. Our customers expect it from us and we expect it from ourselves. We provide the tools and resources needed to comply with securities regulations and policies. Enterprise Compliance consists of several key functions including Ethics, Strategy and Planning, Employee Compliance, Workplace Solutions Compliance, Advice Solutions Compliance, Regulatory Compliance, Global Sanctions and Risk Assessment and Testing.
The Expertise You Have
• College degree is required, with at least 5 years of relevant work experience preferred
• Background in compliance, legal, or audit desired
• Experience in operational activities and process/project management highly desired
• Interest in applying new technology-based solutions to internal control processes
• Financial services industry experience a plus
The Skills You Bring
• You have an unwavering commitment to accuracy and quality
• You can handle multiple tasks and priorities simultaneously
• You possess strong research and analytical skills
• You apply sound judgment to spot issues, assess risks, and identify items requiring escalation
The Value You Deliver
• Maintaining and improving controls and operating procedures
• Reviewing, analyzing, and dispositioning employees’ outside activities and investments to ensure compliance with regulatory restrictions and internal policies
• Assisting in the design and development of policies and procedures
• Monitoring industry trends and regulatory developments in employee compliance
• Providing guidance to associates on Ethics policies, including the Code of Ethics and outside activities
• Contributing to the development of technological solutions related to compliance with Ethics policies