Compliance Advisor

  • Competitive
  • Smithfield, RI, USA
  • Permanent, Full time
  • Fidelity Investments
  • 25 Nov 17 2017-11-25

Compliance Advisor

Compliance Advisors on the FIAMC Communications Review team help ensure the firm's compliance with regulatory standards pertaining to communications with the public. Primary responsibilities include: reviewing marketing materials; interpreting and applying regulatory guidance across multiple communications channels; formulating related policies and procedures, supporting new products and FIAM business initiatives, and assisting with associated oversight functions.

The Expertise We're Looking For

  • Familiarity with FINRA, SEC, MSRB rules & regulation
  • General Financial Service experience
  • Experience related to Fidelity's intermediary distribution channel and/or products
  • Series 7, 24 are a plus but not required
  • Bachelor's degree with preferably 5 years of relevant experience or an Advanced degree with 3 years of relevant experience


The Purpose of Your Role

As a Communications Reviewer, you will be part of a highly collaborative team of Compliance Advisors who support Fidelity's Intermediary & Institutional channels, including the FIAM and FCCS Marketing and Distribution teams. Reviewers take on increasing levels of responsibility, starting with baseline marketing content review and advancing to full engagement in complex marketing campaigns while collaborating with Legal, Product, Enterprise Compliance and other business units. Prior experience with advertising review is not critical, but you should be able to master a complex set of regulations and policies at a fast pace, and apply it to a broad range of communications materials and media. You will have the opportunity to train on and apply both Broker Dealer and Investment Advisor communication review principles. You must have a keen sense of balancing regulatory requirements with business priorities, and the ability to work in an increasingly complex intermediary distribution framework that encompasses Fidelity's Custody and Clearing businesses as well as mutual funds, ETFs, 529 Plans, pools, sub-advisory services, retirement products and services. You will also help identify, resolve, and propose process enhancements to prevent regulatory violations and incidents.

The Skills You Bring
  • You are highly analytical, and able to apply abstract regulatory concepts to plain-English communications under tight deadlines
  • You are able to communicate with and influence a variety of stakeholders from Marketing, Legal, Distribution and Technology at all levels of seniority
  • Your interest in working in an innovative and technology-focused marketing environment
  • Your ability to execute multiple project-based initiatives while also conducting daily marketing review and analysis
  • Your ability to weigh the costs, benefits, risks and chances for success before recommending a course of action
  • Your problem-solving and team-oriented attitude
  • Strong communication skills (writing and in-person) with the ability to adapt language, form, style and tone to different audiences


The Value You Deliver
  • You are a key contributor to Marketing's ability to effectively compete in the financial industry without exposing Fidelity to excessive regulatory and reputational risk
  • You closely collaborate with your peers in the Compliance organization to ensure the FCCS & FIAM sales teams are able to adhere to a complex set of rules and policies related to correspondence, internal sales training, broad marketing, and other business communications
  • Your day-to-day communications and periodic training of business partners contribute to enhanced communication compliance awareness
  • You help appropriately and regularly document relevant business information and processes


How Your Work Impacts the Organization

You enable the FCCS & FIAM Marketing organizations to successfully promote Fidelity products and services without assuming undue risk. The Marketing Review team also closely collaborates with the larger FI Compliance Organization, Enterprise Compliance, Asset Management Compliance and Legal to drive cross-firm efficiency and consistency where needed regarding the application of key compliance principles and practices. In addition, the team regularly engages with Corporate Affairs, PWI Compliance, Product and Technology teams on cross-firm communications initiatives.Company Overview

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.