Role Overview
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.
About Fidelity
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want! We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates.
Key Responsibilities
- Monitoring the regulatory environment, advising and providing guidance to internal partners
- Developing disclosures, policies, and procedures as needed to help ensure compliance with applicable rules and regulations
- Engaging in full engagement in marketing campaigns, social media engagement and product launches while collaborating with Compliance professionals, Legal, Product and Enterprise Compliance
Requirements & Eligibility
- 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 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)
- Superior written and oral communication skills
Required Skills & Tech
FINRA 2210SECComplianceExcelPowerPoint