General CPL Compliance Advisor
| Company | Fidelity Investments |
|---|---|
| Location | Boston, MA, USA, Westlake, TX, USA, New York, NY, USA |
| Salary | $81000 – $137000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- 5+ years compliance and/or regulatory experience in the financial services/brokerage industry, registration and licensing experience is a plus
- Knowledge of FINRA, SEC, and state registration rules and regulations is a plus
- 4-year college degree required, MBA or JD a plus
Responsibilities
- Analyze complex rules and requirements and identify where business units may be impacted and recommend a course of action
- Advise on registration and licensing matters and define a clear course of action to resolve matters
- Proactively identify, escalate, and remediate issues to reduce regulatory risk
- Monitor regulatory changes and define a clear path to compliance, assist with responding to regulatory inquiries, review and advise on registration requirements and limitations
- Review, analyze, and provide interpretive guidance on potential registration disclosures and restrictions on registration
- Review and align supervisory principals and registered associates
- Maintain and update our Enterprise registration policy
- Encourage a culture of diversity, inclusion, ownership, and empowerment
- Be a thoughtful decision maker who strives to improve the associate experience while maintaining a strong culture of compliance
Preferred Qualifications
- Your strong analytical, organizational, and creative problem-solving skills
- Your ability to influence key decision makers through a combination of knowledge, reasoning, and relationships
- Your experience working collaboratively across a large organization, including project management
- A strong team player and the ability to collaborate across business units
- Your ability to simultaneously identify, prioritize and address multiple issues and quickly respond to shifts in priorities