About the role

  • Ensure that regulatory requirements are met and aid in reducing Fidelity’s regulatory risk.
  • Provide dedicated compliance support to business partners.
  • Work across the team to drive efficiencies.
  • Work on various compliance projects to drive improvements.

Requirements

  • BA/BS in Business, Finance, Accounting, Communications, Technology, or related fields.
  • Minimum 5-7 years of experience in the financial services industry, compliance or at a regulatory agency.
  • Knowledge of FINRA, SEC, MSRB rules and the like preferred.
  • Excellent communication skills.
  • Strong analytic skills, resourcefulness, problem-solving abilities, and attention to detail.
  • Series 7 and 24 are a plus.

Benefits

  • Health insurance
  • 401(k) matching
  • Flexible work hours
  • Paid time off

Job title

Compliance Advisor – Communications Review

Job type

Experience level

Mid levelSenior

Salary

Not specified

Degree requirement

Bachelor's Degree

Location requirements

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