Fidelity Investments · 8 hours ago
Senior Compliance Advisor
Jersey City, NJ
Full-time
Hybrid
Senior Level, Lead/Staff
$85K/yr - $171K/yr
10+ years expFidelity Investments is seeking a Senior Compliance Advisor for their Regulatory Management team. In this role, you will be responsible for responding to regulatory inquiries, drafting communications to regulators, and collaborating with various business partners to identify compliance issues in a trading environment.
Asset ManagementFinanceFinancial ServicesRetirementWealth Management
No H1B
Responsibilities
Independently responding to regulatory inquiries accurately and in a timely manner
Drafting timely, detailed, and accurate written communications to industry regulators
Conduct detailed research and collaborate with business partners, compliance peers, and Legal
Identifying core regulatory and compliance issues in a trading environment
Evaluating regulatory inquiries, complaints, and filings for compliance issues or other potential risk exposure to the Firm, driving remediation efforts as needed, and determining whether to raise to management, the Firm’s legal department, or other business partners
Qualification
Required
Bachelor's degree required, MBA or law degree a plus
10+ years of financial services experience required, compliance or regulatory experience preferred
An understanding of the securities markets and associated regulations
Strong writing and oral communication skills
Interpersonal skills with the ability to partner, interact, collaborate and build trust with compliance colleagues, legal, risk and business partners in connection with responding to complex regulatory requests for information
Ability to thrive in high pressure situations and work independently in a fast-paced and dynamic environment while simultaneously managing a full caseload with minimal day-to-day supervision
Accountability and ownership of inquiries and exams assigned
Ability to proactively identify regulatory and compliance issues in connection with responding to regulatory inquiries and exam requests
Ability to collaborate with data analytics colleagues to request data in connection with responding to complex regulatory inquiries
Experience in reviewing large data sets
Preferred
Compliance or regulatory experience 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
Company data provided by crunchbase