Fidelity Brokerage Services LLC
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
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 FidelityCareers.com.
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
Fidelity Brokerage Services LLC
Website : http://www.fidelity.com/
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.