Associate Compliance Analyst at Fidelity Investments

Boston, Massachusetts, United States

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Not SpecifiedCompensation

Entry Level & New Grad, Junior (1 to 2 years)Experience Level

Full TimeJob Type

NoVisa

Financial ServicesIndustries

Requirements

BA/BS degree required
0 – 2+ years of financial services experience
Previous compliance, trade operations, or operational risk experience preferred
FINRA Series 7 license preferred
Proficient in Microsoft Word, Excel, and PowerPoint
Self-starter, relationship builder, and problem solver
Ability to communicate clearly and concisely, both orally and in writing
Familiarity with, or ability to quickly understand, the legal and regulatory environment applicable to the financial services industry and Fidelity internal policies
Ability to establish priorities, work independently, and follow through on assignments with minimal supervision
Approaches work with an open mind and sense of creativity; able to challenge current practices and recommend improvements to drive positive change

Responsibilities

Execute day-to-day operations related to the monitoring and oversight of employee trading for compliance with Fidelity’s Code of Ethics for Personal Investing
Educate and assist employees with their understanding of Fidelity’s personal trading policies
Apply sound judgment to recognize issues, assess risks, and identify items requiring escalation
Develop and maintain compliance policies, procedures, and controls related to the trade monitoring program
Encourage a culture of diversity, inclusion, ownership, and empowerment
Improve the associate experience while maintaining a strong culture of compliance

Skills

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Trade Monitoring

Compliance Policies

Regulatory Compliance

FINRA Series 7

Risk Assessment

Employee Trading Oversight

Fidelity Investments

Investment management and financial services provider

About Fidelity Investments

Fidelity Investments offers a range of financial services and tools designed to help individuals manage their investments and stay informed about the markets. Their products include mobile applications and market monitoring tools that provide users with real-time market quotes, news, and trading capabilities. For example, the Fidelity Market Monitor for Glass delivers daily market quotes directly to Google Glass, while the Fidelity app for Windows Phone 8 allows users to access news and trading tools on their mobile devices. Additionally, features like the Watch List Visualization for iPad help users track stock price changes over time using a heatmap. What sets Fidelity apart from its competitors is its focus on integrating new technologies and user-friendly interfaces to enhance the investment experience. The goal of Fidelity Investments is to empower individuals with the information and tools they need to make informed financial decisions.

Boston, MassachusettsHeadquarters

1946Year Founded

$120,238.8MTotal Funding

DEBT_FINANCINGCompany Stage

Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Health Insurance

Mental Health Support

Hybrid Work Options

401(k) Retirement Plan

401(k) Company Match

Unlimited Paid Time Off

Parental Leave

Student Loan Assistance

Tuition Reimbursement

Risks

Loss of key personnel like Gita Bal may impact Fidelity's research capabilities.

Increased competition from Vanguard's new division could draw clients away from Fidelity.

Potential reputational risk from Bitcoin ETF outflows could affect Fidelity's offerings.

Differentiation

Fidelity Labs offers innovative beta products like Market Monitor for Google Glass.

Fidelity's mobile solutions are available on multiple platforms, including Windows Phone and iPad.

Fidelity's Open Limit Order Visualization provides unique insights into order execution proximity.

Upsides

Increased adoption of wearable tech could boost Fidelity's mobile solutions.

Growing interest in Bitcoin ETFs suggests expansion in Fidelity's digital asset offerings.

Rise of AI could benefit Fidelity's data analytics and AI-driven investment strategies.

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