Fidelity Bank · 5 months ago
Senior Compliance Advisor
Boston, MA
Full-time
Hybrid
Mid, Senior Level
$85K/yr - $171K/yrFidelity Bank is seeking a Senior Compliance Advisor to join their Fidelity Institutional Compliance team. The role involves providing advisory support to trading desks, developing compliance policies, and ensuring adherence to regulatory requirements. The advisor will also design training programs and assist with regulatory inquiries while staying informed about emerging regulatory issues.
BankingBitcoinCustomer ServiceFinancial ServicesInsuranceWealth Management
No H1B
Responsibilities
Provide advisory support to FCM Equity and Options trading desks and supporting operations
Develop and maintain written supervisory procedures, compliance policies and other documentation
Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas
Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance requirements, supervisory infrastructure and control framework
Design and deliver targeted training to business personnel
Assist regulatory inquiries/exam staff in responding to relevant regulatory matters
Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, subscribing to key industry periodicals and being an active participant in industry groups such as SIFMA, FIF, and ICI
Partner with compliance colleagues and business partners on regulatory matters and surveillance issues
Qualification
Required
Subject matter expertise in one or more of the following areas: equity and options trade reporting platforms or operational trade support
An in-depth understanding of the securities markets and associated regulations
Strong written and oral communication skills. Written documents include compliance notices, written supervisory procedures, assessments, and presentations. Oral communications range from daily interactions with desk staff to the ability to explain issues accurately and succinctly to compliance and business management
Ability to proactively identify core regulatory and compliance issues in a fluid trading environment
Effective relationship building skills to interact with colleagues and business partners
Interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization
Accountability and ownership of issues and initiatives, with an ability to independently exercise good judgment and see projects through to completion
Ability to thrive in a fast-paced environment while managing multiple priorities
Intellectual curiosity and sharp investigative skills, as well as strong analytical and problem-solving skills
Prior trade reporting compliance or product experience (i.e., CAT, CAT CAIS, LOPR, ACT, 605/606) is required. Or similar experience with a securities regulator
Provide advisory support to FCM Equity and Options trading desks and supporting operations
Preferred
MBA or law degree a plus
business major preferred
Benefits
Comprehensive health care coverage and emotional well-being support
Market-leading retirement
Generous paid time off and parental leave
Charitable giving employee match program
Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
Company
Fidelity Bank
Fidelity Bank is a commercial bank providing services financial sercvices.
Founded in 1974
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2018-12-17Acquired
2014-09-01Private Equity
Company data provided by crunchbase