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Fidelity Investments · 1 day ago

Senior Compliance Advisor

Boston, MA

Full-time

Hybrid

Mid, Senior Level

$85K/yr - $171K/yr

Fidelity Investments is seeking a Senior Compliance Advisor to provide support to trading desks and product areas within Fidelity Capital Markets (FCM). The role involves offering technical guidance, developing compliance policies, and ensuring adherence to regulatory requirements while collaborating with business partners.

Asset ManagementFinanceFinancial ServicesRetirementWealth Management

Growth Opportunities

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

EquityOptions trade reportingSecurities market regulationsRegulatory compliance experienceAnalyticalCommunication skillsProblem-solving skillsAccountabilityIntellectual curiosityManage prioritiesInterpersonal skillsRelationship buildingOwnership

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

College degree required, business major preferred

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