Fidelity Investments Job - 32175512 | CareerArc
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Company: Fidelity Investments
Location: Jersey City, NJ
Career Level: Mid-Senior Level
Industries: Banking, Insurance, Financial Services


Job Description:

We are looking for a Senior Compliance Advisor/Analyst to support our evolving Compliance Assessments Program. You will bring a fresh perspective and an auditor's curiosity to help develop and perform assessments to identify compliance risks and issues. You will work with Compliance, Technology, Data Analysis and Business specialists within the organization. We will need you to actively establish, maintain and strengthen internal relationships to enable the success of the program!

The Expertise You Have
  • Financial services experience, particularly brokerage operations and the regulatory complexities associated with the business
  • Compliance actions and assessments
  • Process/project management experience
  • Experience with data visualization products like Tableau a plus
  • Familiarity with Fidelity's organization and operations preferred
The Skills You Bring
  • You have a comprehensive understanding of the brokerage business and compliance function
  • You have excellent interpersonal and written and verbal communication skills and the ability to present results clearly in a compelling manner
  • You have been working in a compliance focused environment for a few years and are looking to further develop strong skills as you approach mid-career
  • You can prioritize multiple tasks and priorities simultaneously with a self-starter attitude
  • You possess strong research and analytical skills
The Value You Deliver
  • Developing and performing compliance reviews (rule based and end to end assessments) for the purpose of validating compliance with SEC, FINRA, and SRO rules/regulations, and Firm requirements/expectations.
  • Developing and performing targeted compliance assessments
  • Crafting work papers to show evidence of the scope of the review and to support the findings
  • Identifying and participating in the design of ongoing surveillance scenarios
Certifications: Category: Compliance

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