Compliance Analyst

Job Description:

The Role 

As a Registration and Licensing Compliance Analyst you will work as part of a team that is responsible for supporting Fidelity associates through the registration process.  In this role you will work closely with Business Unit Colleagues, Managers, Supervisors, Self- Regulatory Organizations and State Securities Divisions as needed to effectively resolve Securities and Investment Adviser registration issues and inquiries that may arise. Must be able to professionally and effectively communicate issues and resolutions by demonstrating knowledge of the securities registration industry. 

Specific responsibilities include: 

• Determining if certain associate events are reportable on the Form U4. 
• The filing of initial registration applications (Forms U4), amended applications (Form U4 amendments) and requests to terminate registrations (Forms U5) with FINRA. 
• Assisting associates with state securities applications. 
• Responding to associate inquiries regarding applications and registration status. 
• Providing education and information to associates and Supervisory Principals regarding the maintenance of FINRA registrations and state insurance licenses. 
• Interacting with various regulatory agencies (FINRA, individual states, SRO’s, etc.) regarding registration and licensing matters. 
• Providing outstanding customer service to all levels of associates within Fidelity (new hires through senior management) regarding their registration and licensing needs.  

The Expertise and Skills You Bring 

• Bachelor’s degree in finance, Economics, Math Sciences or other liberal arts field strongly preferred; 
• Current or former FINRA series registrations and/or state securities licenses preferred. 
• At least two-year experience processing work items or transactions from a queue in an operational environment required. 
• At least two years experience in a customer service role strongly preferred. 
• Working knowledge of the FINRA registration process and requirements related to maintaining ongoing registrations. 
• Minimum 3+ years working in a Compliance or Regulatory capacity. 
• Experience reading and interpreting complex written material in a regulatory environment. 
• Familiarity with Fidelity's Broker-Dealer organizations and operations preferred. 

The Skills You Bring 

• Ability to manage work items in fast-paced, deadline-oriented environment. 

• Ability to process work items accurately according to established process and procedure. 

• Strong ability to understand and explain complex regulatory and technical information.  

• Excellent verbal and written communication skills 

• Ability to communicate and collaborate across various Business Units as well as with coworkers in a team-oriented environment. 

• High level of personal integrity and professionalism. 

• Ability to manage sensitive, confidential information in a respectful and professional manner. 

• Strong work ethic and willingness to support and help other members of the team when and where necessary. 

• PC proficiency including expertise in Power Apps, Microsoft Excel, Word, PowerPoint, XTRAC, Adobe, or similar applications preferred 

The Team 

The Ethics Office works closely with the business, compliance, and legal partners to ensure ongoing regulatory compliance and protection of Fidelity's customers, brand, and reputation. We oversee policies related to employee conduct including personal trading (including private securities transactions), outside business activities, inside information (also known as material, non-public information or MNPI gifts and entertainment, conflicts of interest, political law, registration and licensing, and compliance training. 

We are a team of compliance professionals that provide service and operational support for Fidelity associates to ensure compliance with the Code of Ethics and support the Fidelity broker dealers and investment advisors as well as their associates as it relates to registration and licensing. 

Note: Fidelity is not providing immigration sponsorship for this position

Certifications:

Category:Compliance

Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.