Senior Compliance Advisor at Fidelity Investments

Boston, Massachusetts, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Investment ManagementIndustries

Requirements

Subject matter expertise in one or more of the following areas: equity and options trade reporting platforms or operational trade support
In-depth understanding of the securities markets and associated regulations
Strong written and oral communication skills (e.g., compliance notices, written supervisory procedures, assessments, presentations; interactions with desk staff and management)
Ability to proactively identify core regulatory and compliance issues in a fluid trading environment
Effective relationship building skills to interact with colleagues and business partners
Interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization
Accountability and ownership of issues and initiatives, with an ability to independently exercise good judgment and see projects through to completion
Ability to thrive in a fast-paced environment while managing multiple priorities
Intellectual curiosity and sharp investigative skills, as well as strong analytical and problem-solving skills
College degree required, business major preferred
MBA or law degree a plus
Prior trade reporting compliance or product experience (i.e., CAT, CAT CAIS, LOPR, ACT, 605/606) is required, or similar experience with a securities regulator

Responsibilities

Provide advisory support to FCM Equity and Options trading desks and supporting operations
Provide technical and interpretative guidance to FCM personnel
Develop and maintain written supervisory procedures, compliance policies, and other documentation
Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas
Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance requirements, supervisory infrastructure, and control framework
Design and deliver targeted training to business personnel
Assist regulatory inquiries/exam staff in responding to relevant regulatory matters
Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, subscribing to key industry periodicals, and being an active participant in industry groups such as SIFMA, FIF, and ICI
Partner with compliance colleagues and business partners on regulatory matters and surveillance issues

Skills

Equity Trading

Options Trading

Trade Reporting

Securities Regulations

Compliance Policies

Supervisory Procedures

Regulatory Analysis

SIFMA

FIF

ICI

Trade Surveillance

Regulatory Inquiries

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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