Fidelity Investments · 3 hours ago
Senior Compliance Advisor
Jersey City, NJ
Full-time
Hybrid
Mid, Senior Level
$85K/yr - $171K/yr
3+ years expFidelity Investments is a leading financial services company, and they are seeking a Senior Compliance Advisor to support their Compliance organization. In this role, you will provide regulatory support to various teams and develop strong supervisory controls in accordance with FINRA and SEC regulations.
Asset ManagementFinanceFinancial ServicesRetirementWealth Management
No H1B
Responsibilities
Understanding the evolving broker-dealer regulatory environment; reviewing and analyzing regulatory requirements and potential impact to the broker-dealer
Supporting the Regulatory Management Team by assisting with timely responses to regulatory exams
Strong attention to detail
Strong analytical, organizational, and critical thinking skills
Positive interpersonal communication skills; ability to work independently and as part of a close-knit team
Ability to work effectively managing competing priorities in a fast-moving, challenging regulatory environment
Proven track record of implementing process improvements in previous roles
Qualification
Required
Understanding the evolving broker-dealer regulatory environment; reviewing and analyzing regulatory requirements and potential impact to the broker-dealer
Supporting the Regulatory Management Team by assisting with timely responses to regulatory exams
Strong attention to detail
Strong analytical, organizational, and critical thinking skills
Positive interpersonal communication skills; ability to work independently and as part of a close-knit team
Ability to work effectively managing competing priorities in a fast-moving, challenging regulatory environment
Proven track record of implementing process improvements in previous roles
4-year college degree required
Preferred
MBA or JD is a plus
Minimum 3-5 years of related experience in Compliance, Risk, or Legal is 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 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.
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
2026-01-23
Livemint.com
2026-01-22
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