Fidelity
Securities
SeniorComplianceAdvisor
“Senior Compliance Advisor at Fidelity. Skills: Compliance, Securities regulation, Trade reporting. Provide advisory support to FCM Equity and Options trading desks. Develop and maintain written supervisory procedures”
Industry & Context.
Ability to proactively identify core regulatory and compliance issues in a fluid trading environment; Intellectual curiosity and sharp investigative skills, as well as analytical and problem-solving skills
Fidelity is not providing immigration sponsorship for this position, 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.
What They're Looking For.
Must Have
Subject matter expertise in one or more of the following areas: equity and options trade reporting platforms or operational trade support, An in-depth understanding of the securities markets and associated regulations, written and oral communication skills, Ability to proactively identify core regulatory and compliance issues in a fluid trading environment, Effective relationship building skills to interact with colleagues and business partners, Interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization, Accountability and ownership of issues and initiatives, with an ability to independently exercise good judgment and see projects through to completion, Ability to thrive in a fast-paced environment while managing multiple priorities, Intellectual curiosity and sharp investigative skills, as well as analytical and problem-solving skills, Prior trade reporting compliance or product experience (i. e. , CAT, CAT CAIS, LOPR, ACT, 605/606) is required. Or similar experience with a securities regulator.
Nice to Have
business major preferred, MBA or law degree a plus
What You'll Do.
Provide advisory support to FCM Equity and Options trading desks
Develop and maintain written supervisory procedures
Implement Compliance changes due to new regulatory requirements
Support new products and service initiatives
Design and deliver targeted training
Assist regulatory inquiries/exam staff
Remain abreast of emerging regulatory issues
Partner with compliance colleagues and business partners
How You'll Work.
Team & Collaboration
Partner with compliance colleagues and business partners on regulatory matters and surveillance issues; Interact with colleagues and business partners; Partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization
Communication Scope
written and oral communication skills; Written documents include compliance notices, written supervisory procedures, assessments, and presentations; Oral communications range from daily interactions with desk staff to the ability to explain issues accurately and succinctly to compliance and business management
Process & Methodology
See projects through to completion
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