What are the responsibilities and job description for the Compliance Analyst position at Fidelity Investments?
Job Description
Compliance Analyst
The Analyst within the Compliance Governance and Oversight team at Fidelity Digital Assets (FDAS) 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, developing control frameworks, and promoting ethical conduct across the organization. As a member of the Compliance Testing team, this role focuses on supporting the development and execution of testing and risk assessments for compliance needs.
This role is integral to FDAS’s commitment to ethical conduct and compliance with regulatory and legal obligations, ensuring that the organization operates within the bounds of applicable laws and maintains the trust of its stakeholders.
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.
Certifications
Category:
Compliance
Compliance Analyst
The Analyst within the Compliance Governance and Oversight team at Fidelity Digital Assets (FDAS) 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, developing control frameworks, and promoting ethical conduct across the organization. As a member of the Compliance Testing team, this role focuses on supporting the development and execution of testing and risk assessments for compliance needs.
This role is integral to FDAS’s commitment to ethical conduct and compliance with regulatory and legal obligations, ensuring that the organization operates within the bounds of applicable laws and maintains the trust of its stakeholders.
The Role
- Regulatory Risk and Control Mapping: Assist in developing and executing programs that map regulatory risks and controls, ensuring compliance with applicable laws and regulations.
- Compliance Testing: Support the development of a compliance testing program and testing activities including 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: A bachelor’s degree is required, degrees in law, finance, business administration, or a related field is preferred.
- Experience: A minimum of 4 years in compliance, risk management, or legal roles, with experience in highly regulated industries like financial services. Strong attention to detail and experience working on procedures and controls.
- Regulatory Knowledge: Familiarity with compliance laws, regulations, and industry standards, particularly those relevant to digital assets and financial services.
- Testing Experience: Exposure testing approaches through risk assessment, control testing, compliance testing, audit, gap analysis, or other investigative processes.
- Analytical and Problem-Solving Skills: Ability to identify compliance vulnerabilities and develop corrective action plans.
- Communication and Leadership: Strong interpersonal skills to effectively collaborate in a fast-paced environment with various departments to cultivate a culture of compliance.
- Project Management: Comfort in dynamic environments, ability to shift priorities and manage projects across multiple functions and timelines.
- Certifications: Professional certifications such as Certified Compliance & Ethics Professional (CCEP) 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.
Certifications
Category:
Compliance
Salary : $74,000 - $141,000