Fidelity Investments Job - 35292326 | CareerArc
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Company: Fidelity Investments
Location: Smithfield, RI
Career Level: Entry Level
Industries: Banking, Insurance, Financial Services


Job Description: The Team

Fidelity Institutional ("FI") offers clearing, custody, investment products, brokerage and trading services to a broad range of financial intermediary firms and institutional clients. The mission of FI Compliance is to maintain the highest professional compliance standards, while supporting fast-paced product, service and system development. To realize this mission, we provide the tools and resources needed to ensure FI's compliance with regulations and Fidelity policies. In this role you will regularly engage with various stakeholders, including business partners, Enterprise Compliance peers and members of the Legal Department.

Compliance Advisor

As a Compliance Advisor in the FI Client Relationship Group Compliance team, you will serve as a subject matter specialist focusing on compliance matters regarding broker-dealer products and services in support of FI. You will be responsible for monitoring changes in regulations and policies and will assist in the development and oversight of controls to mitigate risk. This Compliance Advisor role is a phenomenal introduction to the compliance function and will provide you with the opportunity to better understand FI's business divisions and more broadly the Fidelity compliance and risk environment.

The Expertise You Have
  • 4-year college degree required, MBA preferred
  • 1-proven experience in the financial services industry
  • Institutional/Intermediary broker-dealer experience preferred
The Skills You Bring
  • Positive relationship management and communication skills
  • Experience working collaboratively with firm-wide teams
  • You'll identify, prioritize and address multiple issues simultaneously and to respond quickly to shifts in priorities
  • Your ability to influence key decision makers through a combination of knowledge, reasoning and relationship building and maintenance
  • Strong analytical, organizational, and problem-solving skills
The Value You Deliver
  • Providing subject matter expertise to the FI Client Relationship Group on general compliance requirements and for assigned broker-dealer coverage areas
  • Leveraging your experience in the financial services industry with an emphasis on intermediary and institutional distribution
  • Crafting tools and training, for compliance and business representatives, on requirements for broker-dealer product distribution
  • Crafting policies, procedures, and communications for business and other leaders, including status reports, program updates and requirements
  • Analyzing, interpreting, presenting and communicating policies that relate to business unit initiatives and advising leaders how to proceed from a compliance perspective

Company Overview

At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences. For information about working at Fidelity, visit

Fidelity Investments is an equal opportunity employer.

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