Referent Recht/Compliance for legal certainty focusing on compliance and data protection in a growth - oriented company. Engaging with management and stakeholders to implement effective compliance strategies.
SF
Hybrid Compliance Advisor – Communications Review
Posted 2 months ago
About the role
- Compliance Advisor ensuring regulatory requirements are met within Fidelity's Communications Review Group. Providing compliance support to partners and working on projects to drive improvements in financial services.
Responsibilities
- 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
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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