Compliance Analyst ensuring legal conformity in a leading healthcare company. Involves collaboration with legal teams, risk management, and corporate governance protocols.
About the role
- State Regulatory Inquiry Analyst acting as a liaison between state regulators and Fidelity employees applying for state registration. Ensuring compliance with licensing processes and regulations.
Responsibilities
- act as a liaison between state regulators and Fidelity employees identified as high risk when applying for state registration
- communicate with applying associates, keeping them informed of state requirements and answering questions
- manage communication with regulators and escalate high-risk cases
- compile applicant's submissions to meet state requirements
- submit final documentation to state regulatory agencies
Requirements
- Minimum 1-year professional experience
- Financial acumen and/or industry experience
- Precision and attention to detail
- Knowledge of, or a willingness to learn the complex licensing process and regulatory requirements
- Perform risk assessment and mitigation
- Discretion for handling confidential information in a professional manner
- Ability to work proactively and independently
- Effective written and oral communication skills appropriate to all business levels
- Ability to work on multiple tasks simultaneously and manage workload
- Exercise judgement on appropriate escalation strategies
- Ability to prioritize based on item risk and due date
- Relationship management skills
- Organizational and time management skills
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
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