Compliance Advisor
| Company | Fidelity Investments |
|---|---|
| Location | Westlake, TX, USA, Albuquerque, NM, USA, Smithfield, RI, USA, Jacksonville, FL, USA, Cincinnati, OH, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Mid Level, Senior |
Requirements
- Series 7, 63, 24 required
- Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures
- Strong ability to understand and communicate sophisticated regulatory requirements
- Effective communicator who is skilled at interactions with employees at all levels
- Ability to multi-task and prioritize work according to changing deliverables
- Ability to identify potential risks and issues and use good judgement to raise concerns
- High level of personal integrity and professionalism
Responsibilities
- Review outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies
- Execute timely review and identification of any non-compliant materials
- Consult with compliance and content owners to ensure compliant communications are distributed to customers
Preferred Qualifications
- 4-year college degree preferred
- Directly related experience including communications, marketing or compliance experience preferred