What are the responsibilities and job description for the Compliance Advisor position at Fidelity Investments?
Job Description
Compliance Advisor
Compliance Governance and Oversight team, in coordination with Fidelity Digital Assets (FDA) Compliance plays a crucial role in ensuring the organization’s adherence to regulatory standards and internal policies in the dynamic digital assets sector. This position involves supporting compliance initiatives including developing control frameworks and promoting ethical conduct across the organization. This role focuses on supporting the development and execution of compliance testing and risk assessments. Additionally, you will learn about Compliance within FDA and support the broader team as needed and as your interests arise.
The Role
The base salary range for this position is $74,000-141,000 USD per year.
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. Please consult with your recruiter for the specific expectations for this position.
Certifications
Category:
Compliance
Compliance Advisor
Compliance Governance and Oversight team, in coordination with Fidelity Digital Assets (FDA) Compliance plays a crucial role in ensuring the organization’s adherence to regulatory standards and internal policies in the dynamic digital assets sector. This position involves supporting compliance initiatives including developing control frameworks and promoting ethical conduct across the organization. This role focuses on supporting the development and execution of compliance testing and risk assessments. Additionally, you will learn about Compliance within FDA and support the broader team as needed and as your interests arise.
The Role
- Regulatory Risk and Control Mapping: Assist in developing and executing the mapping of regulatory risks and controls to ensure FDA’s compliance with applicable laws and regulations.
- Compliance Testing: Support the execution of compliance testing including assessing existing testing and assurance activities against regulatory expectations, collaborating across business functions, and reporting to leadership.
- Compliance Risk Assessment: Support the compliance risk assessment planning, execution, and evaluation process, as needed.
- Educational Background/Work History: A bachelor’s degree is preferred, a degree in law, finance, business administration, or a related field is a plus. Experience in compliance, risk management, legal roles, or other oversight or quality assurance roles are ideal.
- Analytical and Problem-Solving Skills: Ability to identify vulnerabilities and develop corrective action plans. Exposure to testing approaches through risk assessment, control testing, compliance testing, audit, gap analysis, or other investigative processes not necessary, but encouraged.
- Communication and Leadership: Strong interpersonal skills to effectively collaborate in a fast-paced environment with various departments and different levels of authority to cultivate a culture of compliance. Strong attention to detail and writing skills necessary.
- Project Management: Comfort in dynamic environments, ability to shift priorities and manage projects across multiple functions and timelines. Able to work independently as well as collaboratively.
- Certifications: Knowledge of crypto and blockchain technology and the Crypto industry are advantageous.
The base salary range for this position is $74,000-141,000 USD per year.
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. Please consult with your recruiter for the specific expectations for this position.
Certifications
Category:
Compliance
Salary : $74,000 - $141,000