Senior Compliance Advisor

Fidelity(28 days ago)

HybridFull TimeSenior$85,000 - $171,000Compliance

About this role

A Senior Compliance Advisor within Fidelity Institutional’s FBOT Compliance organization provides regulatory oversight and guidance for broker-dealer operations. The role partners with Operations, Treasury, and Accounting to ensure adherence to FINRA and SEC requirements and to strengthen supervisory controls through collaboration with Internal Controls and Audit.

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Required Skills

Regulatory Analysis
FINRA Compliance
SEC Regulations
Compliance Monitoring
Risk Management
Internal Controls
Audit Collaboration
Process Improvement
Communication Skills
Analytical Thinking

+1 more

Qualifications

Bachelor's Degree
MBA (Preferred)
JD (Preferred)

About Fidelity

fidelity.com

Fidelity Investments is a leading financial services company that specializes in helping individuals and businesses achieve their financial goals through a wide range of products and services. These offerings include brokerage, retirement planning, investment management, and wealth management, as well as tools for saving and spending efficiently. With a focus on customer support and financial guidance, Fidelity aims to empower its clients to make informed financial decisions to secure their futures. The company is known for its robust online trading platforms and comprehensive financial planning resources.

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