Note: Fidelity will not provide immigration sponsorship for this position.
The Role
As a Senior Compliance Advisor for the Product Communications and Marketing Compliance team (PCMC), you will be part of a highly collaborative team that primarily supports the Marketing, Product and Distribution, Custody and Clearing and Platform teams within FI, and may partner with other business units such as Asset Management Compliance, Enterprise Compliance, Wealth & Brokerage and others on a range of cross-firm initiatives, campaigns and projects . You will also be responsible for monitoring the regulatory environment, advising and providing guidance to internal partners, and developing disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations. The Senior Compliance Advisors take on growing levels of responsibility as they develop their familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media engagement and product launches while collaborating with Compliance professionals, Legal, Product and Enterprise Compliance.
The Expertise and Skills You BringBachelor’s degree.
Minimum 5+ years of proven experience in financial services.
Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
An understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products.
Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
Series 7 (preferred but not required).
Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate.
Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
Experience with Excel and PowerPoint.
Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.
Senior Compliance Advisors in the PCMC team, within FI Compliance, assist the FI business and Asset Management teams in maintaining compliance with regulatory standards pertaining to communications with the public, sales training, and related subjects.
Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
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.
Skills Required
- Bachelor's degree
- Minimum 5+ years of proven experience in financial services
- Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation
- Understanding of intermediary and/or institutional distribution channels and/or products
- Experience reviewing marketing and other communications for broker/dealer firms and/or investment adviser firms
- Series 7
- Ability to work in a fast-paced environment and manage competing deadlines
- Exceptional analytical skills and ability to learn complex concepts
- Experience with Excel and PowerPoint
- Superior written and oral communication skills and ability to engage and influence partners
Fidelity Investments Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Fidelity Investments and has not been reviewed or approved by Fidelity Investments.
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Strong & Reliable Incentives — Bonuses, commissions, and profit-sharing are presented as generous and meaningful components of total compensation, with certain roles achieving high total earnings through multiple pay streams. Variable pay is consistently framed as a positive contributor beyond base salary.
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Retirement Support — A 401(k) match up to 7% alongside additional profit-sharing up to 10% materially enhances long-term compensation. These retirement features are highlighted as standout strengths of the overall package.
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Parental & Family Support — Generous paid parental leave (16 weeks maternity, 12 weeks parental), backup dependent care, and adoption assistance provide robust family support. Hybrid work and caregiving resources further ease family responsibilities.
Fidelity Investments Insights
What We Do
At Fidelity, our goal is to make financial expertise broadly accessible and effective in helping people live the lives they want. We do this by focusing on a diverse set of customers: - from 23 million people investing their life savings, to 20,000 businesses managing their employee benefits to 10,000 advisors needing innovative technology to invest their clients’ money. We offer investment management, retirement planning, portfolio guidance, brokerage, and many other financial products. Privately held for nearly 70 years, we’ve always believed by providing investors with access to the information and expertise, we can help them achieve better results. That’s been our approach- innovative yet personal, compassionate yet responsible, grounded by a tireless work ethic—it is the heart of the Fidelity way.
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