Job Description:
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
Are you interested in a career in Compliance? Do you enjoy learning new things and meeting new people? FI Compliance is hiring a compliance advisor to grow our supervisory infrastructure program. This group will play a critical role in modernizing and improving critical compliance functions.
Key Responsibilities include:
- Lead the development, maintenance, and enhancement of Written Supervisory Procedures (WSPs), supervisory controls, and related governance documentation.
- Partner with Compliance Subject Matter Experts and business stakeholders to translate regulatory requirements into practical, risk-based procedures that accurately reflect evolving business processes.
- Assess and strengthen the supervisory control environment to support regulatory compliance, manage risk, and advance organizational objectives.
- Drive consistency in supervisory practices across the organization by identifying opportunities to simplify processes, enhance oversight, and improve operational effectiveness.
- Support the modernization of the WSP framework through enhancements to documentation standards, governance processes, technology solutions, and program capabilities.
- Monitor regulatory and industry developments, evaluate potential impacts, and coordinate proactive updates to procedures and controls.
- Serve as a trusted compliance advisor, building relationships across the organization and providing guidance on supervisory practices, controls, and regulatory expectations.
- Facilitate cross-functional discussions and working sessions to review procedures, resolve issues, incorporate stakeholder feedback, and drive timely completion of required updates.
- Manage multiple priorities while maintaining exceptional attention to detail and ensuring documentation is organized, accurate, and aligned with established standards.
- Document compliance activities, decisions, stakeholder feedback and outcomes in a clear, accurate, and timely manner.
The Expertise and Skills You Bring
- Bachelor's degree or equivalent experience.
- Experience developing, reviewing, or maintaining policies, procedures, supervisory controls, or governance documentation in a regulated environment.
- Exceptional written communication skills, with the ability to develop clear, concise, and effective policies, procedures, and governance documentation. Writing samples may be requested.
- Adaptability and resilience in a dynamic regulatory and business environment.
- Strong analytical skills with the ability to interpret, synthesize, and apply complex regulatory requirements and business information.
- Excellent verbal communication and stakeholder management skills, with the ability to build credibility, influence outcomes, and foster strong working relationships across teams.
- Intellectual curiosity and a desire to learn, develop, and grow within the Compliance organization.
- Effective time management and organizational skills, with the ability to manage multiple priorities while maintaining accuracy and attention to detail.
- Strong verbal and written communication and stakeholder management skills with the ability to build credibility and influence across teams.
- Ability to facilitate meetings, gather feedback, and drive alignment with diverse stakeholders.
- Collaborative approach with a demonstrated ability to work effectively across functions and levels of the organization.
- Problem-solving mindset with a focus on continuous improvement, process enhancement, and consistency in execution.
The Team
Fidelity Institutional ('FI') offers clearing, custody, investment products, brokerage, and trading services to a broad range of financial intermediary firms and institutional clients.
The mission of FI Compliance is to maintain the highest professional compliance standards, while supporting fast-paced product, service, and system development. To realize this mission, we provide the tools and resources needed to ensure FI’s compliance with regulations and Fidelity policies. FI Compliance supports the several businesses within FI, including Green Pier FinTech, Fidelity Capital Markets, Client Experience, Products and Advisory Solutions, Client Relationship, Plynk, and Strategy, Analytics, and Market Readiness.
This role sits within the Strategy and Framework team in FI Compliance. Strategy and Framework focuses on innovation and continuous advancement of the compliance program.
Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Category:
Compliance
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.