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Job Details

Senior Compliance Advisor

Company name
Fidelity Brokerage Services LLC

Westlake, TX

Apply for this job

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Senior Compliance Advisor','1806139','!*!The Senior Compliance Advisor supports the Fidelity Institutional Operations and Client Experience groups in the mission of providing unparalleled service to Fidelity Institutional Clearing and Custody Clients by providing incisive compliance guidance and expertise.

The Expertise We’re Looking For

Account opening & maintenance and industry asset transfer programs knowledge and experience

Sound knowledge of FINRA, MSRB and SEC Regulations. 

At least 4-6 years compliance experience dealing in complex regulatory and business matters.

The Purpose of Your Role

You will support and enable growth of Fidelity Institutional by providing sound compliance advice and leadership, anticipating regulatory matters, designing effective supervisory and compliance programs, implementing new rules.  You will provide supervisors with guidance on account opening and asset transfer (ACATs, Non-ACATs, journals, wires, other). 

You will collaborate with dedicated professionals on developing new products, services and solutions for our clients and associates.

The Skills You Bring

Regulatory experience and insight

Analytical thinking

Ability to engage proactively and work in large team settings

Curiosity and willingness to continually learn

Adaptability, focus and energy

Self-initiating and solutions oriented personality.

Sound judgment, maturity and discretion

Effective written and verbal communication skills; This role requires planning and writing supervisory procedures and training programs

The Value You Deliver

Anticipating regulatory focus and helping FI preparedness

Supporting development of dynamic solutions for financial intermediaries and their customers.

Solving for challenges presented.

Getting involved in compliance driven initiatives to assess functions, regulations, processes

Protecting Fidelity’s reputation, brand and integrity while empowering business evolution.

Identifying areas that need compliance engagement and understanding

Designing effective regulatory programs and processes.

Influencing and shaping change in practices for the broader organizational success

How Your Work Impacts the Organization

 The FI Compliance organization is responsible for creating an oversight and support program that assists Fidelity Institutional with its’ mission of providing financial intermediaries with solutions for their associates and customers.  Fidelity Institutional provides sophisticated offerings and solutions to broker-dealers, registered investment advisers, family offices, capital markets, trust services and retail channels.','!*!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

 Fidelity Investments is an equal opportunity employer.','Compliance','US-TX-Westlake','US-NJ-Jersey City','Full-time','Individual Contributor','Bachelor's Degree (±16 years)','Standard','Exempt','Exempt','No','Senior Compliance Advisor

Company info

Fidelity Brokerage Services LLC
Website :

Company Profile
Fidelity Investments has a rich and proud history. From our roots as a small mutual fund company, Fidelity has grown to become a leading provider of a wide range of services, including investment management, retirement planning, brokerage, and human resources and benefits outsourcing services.

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