Fidelity Investments · 2 hours ago
Senior Compliance Advisor
Covington, KY
Full-time
Hybrid
Senior LevelFidelity Investments is a leading financial services company, and they are seeking a Senior Compliance Advisor to support compliance readiness activities related to regulatory rules and requirements. The role involves managing compliance projects, conducting audits, and providing guidance on compliance issues to ensure alignment with business objectives and regulatory standards.
Asset ManagementFinanceFinancial ServicesRetirementWealth Management
No H1B
Responsibilities
Conducting monitoring, audits, and analysis to detect compliance concerns
Providing decision support to resolve compliance issues that arise regarding our program
Enhancing associate resources and training to build a more flexible team
Enhancing quality and consistency of core compliance functions/services
Developing improved reporting, driving visibility, and measurement of compliance program health
Providing compliance guidance for products, services and projects; collaborating with Fidelity Health from business requirements, development, implementation and measurement of key governance activities
Supporting Incident Management and response, assessing, communicating and escalating when appropriate
Reviewing and approving of internal and external collateral
Supporting the monitoring, review and dissemination of requirements of new/modified laws, regulations and other applicable guidance
Managing and delivering on compliance projects and tasks
Qualification
Required
Bachelor's degree, or equivalent, MBA and/or JD is a plus
Experience in areas of operations, program management, data analysis & reporting, requirements gathering and/or controls
Experience in compliance, risk management, audit and/or quality preferred
Experience in HIPAA covered products, retirement, health and/or insurance a plus
Strong interpersonal and influencing skills, including ability to collaborate across the organization, with peers and senior level management, to deliver results
Excellent verbal and written communications skills - ability to present ideas and complex information clearly and effectively through multiple channels
A proven track record to identify, analyze, prioritize, and resolve problems independently, and call out matters when appropriate
Ability to land and learn, ask questions and demonstrate critical thinking
Ability to plan and execute routines and projects timely by delivering on the objectives and managing the expectations of key stakeholders
Microsoft Office suite of applications, including SharePoint, are some of the many tools in your toolbox
Conducting monitoring, audits, and analysis to detect compliance concerns
Providing decision support to resolve compliance issues that arise regarding our program
Enhancing associate resources and training to build a more flexible team
Enhancing quality and consistency of core compliance functions/services
Developing improved reporting, driving visibility, and measurement of compliance program health
Providing compliance guidance for products, services and projects; collaborating with Fidelity Health from business requirements, development, implementation and measurement of key governance activities
Supporting Incident Management and response, assessing, communicating and escalating when appropriate
Reviewing and approving of internal and external collateral
Supporting the monitoring, review and dissemination of requirements of new/modified laws, regulations and other applicable guidance
Managing and delivering on compliance projects and tasks
Company
Fidelity Investments
Fidelity’s mission is to strengthen the financial well-being of our customers and deliver better outcomes for the clients and businesses we serve.
Founded in 1946
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$152.82MKey Investors
Apple
2020-12-28Secondary Market· $2.5M
2018-01-14Secondary Market· $1M
2017-05-03Secondary Market· $12.5M
Leadership Team
Abigail Johnson
Chairman & CEO
Jeanmarie Ward
Senior Vice President of Architecture
Recent News
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2026-01-22
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2026-01-20
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