Associate Compliance Analyst

Associate Compliance Analyst: Ethics Office, Trade Monitoring

The Role

• 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

The Expertise and Skills You Bring

• 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

Note: Fidelity is not providing immigration sponsorship for this position

The Team

The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and committed to providing sound and consistent guidance that effectively mitigates conflicts of interest.

A critical component of the Ethics Office is the Personal Trade Monitoring team. As a key member of this team, you will monitor employee personal trading for compliance with the Code of Ethics for Personal Investing. You will work closely with multiple business partners and apply sound judgement while answering questions related to Fidelity’s rules about owning and trading securities for personal benefit.   

Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.

Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.   

We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home.  These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.  Note, the application window closes when the position is filled or unposted.

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.