Job Description
Job Description:
Compliance Analyst
The Role
As a member of the Fidelity Digital Assets (FDA) Compliance team, you will support the Marketing, Business Development, Product Strategy, and Distribution teams within FDA and the broader Fidelity Enterprise. The Compliance Analyst tackles growing levels of responsibility as they develop familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media interactions, and complex product launches while collaborating with Compliance professionals across channels, Legal, Marketing and Go-to-Market Planning, Product and Enterprise Compliance.
You will be responsible for:
Reviewing marketing, social media, sales training, E-communication surveillance alerts, and related subjects for compliance with regulatory standards
Monitoring the regulatory environment for digital asset developments and partnering with cross-functional teams to address identified issues
Advising internal business partners on compliance requirements and assisting in a general support function capacity
Developing and maintaining disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations
The Expertise and Skills You Bring
Bachelor's degree
Minimum 1+ years of proven experience in financial services
General knowledge of communications and marketing rules, regulations, and guidelines .
An understanding of FDA's business model and distribution channels.
Experience reviewing marketing and other types of communications for financial services firms preferred
Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate
Exceptional analytical skills, intellectual curiosity, and ability to learn new and complex concepts
Effective communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels
Ability to develop reports or summaries for management related to compliance matters and meaningful metrics, demonstrating proficiency with Adobe Acrobat, Microsoft PowerPoint, and Microsoft Excel
The Team
The FDA Compliance Team (within Enterprise Compliance) is responsible for designing, implementing, and supporting the compliance programs for FDA's growing institutional and retail businesses. This includes compliance with federal and state rules, regulations, and licensing requirements. The Team assists the FDA business in identifying and managing compliance and regulatory risks while:
Supporting new and existing products and services;
Supporting the organization's overall control environment;
Shaping governance, social media, and communications; and
Building connections between Fidelity Digital Assets Compliance and other cross-Fidelity Compliance functions.
Certifications:
Category:
ComplianceMost roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.
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.
Job Description:
Compliance Analyst
The Role
As a member of the Fidelity Digital Assets (FDA) Compliance team, you will support the Marketing, Business Development, Product Strategy, and Distribution teams within FDA and the broader Fidelity Enterprise. The Compliance Analyst tackles growing levels of responsibility as they develop familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media interactions, and complex product launches while collaborating with Compliance professionals across channels, Legal, Marketing and Go-to-Market Planning, Product and Enterprise Compliance.
You will be responsible for:
Reviewing marketing, social media, sales training, E-communication surveillance alerts, and related subjects for compliance with regulatory standards
Monitoring the regulatory environment for digital asset developments and partnering with cross-functional teams to address identified issues
Advising internal business partners on compliance requirements and assisting in a general support function capacity
Developing and maintaining disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations
The Expertise and Skills You Bring
Bachelor's degree
Minimum 1+ years of proven experience in financial services
General knowledge of communications and marketing rules, regulations, and guidelines .
An understanding of FDA's business model and distribution channels.
Experience reviewing marketing and other types of communications for financial services firms preferred
Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate
Exceptional analytical skills, intellectual curiosity, and ability to learn new and complex concepts
Effective communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels
Ability to develop reports or summaries for management related to compliance matters and meaningful metrics, demonstrating proficiency with Adobe Acrobat, Microsoft PowerPoint, and Microsoft Excel
The Team
The FDA Compliance Team (within Enterprise Compliance) is responsible for designing, implementing, and supporting the compliance programs for FDA's growing institutional and retail businesses. This includes compliance with federal and state rules, regulations, and licensing requirements. The Team assists the FDA business in identifying and managing compliance and regulatory risks while:
Supporting new and existing products and services;
Supporting the organization's overall control environment;
Shaping governance, social media, and communications; and
Building connections between Fidelity Digital Assets Compliance and other cross-Fidelity Compliance functions.
Certifications:
Category:
ComplianceMost roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.
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.
About Fidelity Investments
At Fidelity, since our founding in 1946, we have been dedicated to strengthening and security our clients’ financial well-being through exceptional service and innovative solutions. We empower over ~50 million people to achieve their most important financial goals, manage employee benefit programs for nearly 24,000 businesses, and support more than 16,000 wealth management firms and institutions with cutting-edge investments and technology. Our diverse business portfolio and independence provide us with a comprehensive view of the market and the stability to deliver long-term value for our customers. As the financial industry evolves and customer needs grow more complex, Fidelity continues to reinvent, innovate, and transform to meet the challenges of tomorrow’s financial landscape.
*Specifically serviced by our Clearing & Custody team within Fidelity Institutional
Fidelity TalentSource, is the in-house temporary staffing provider for Fidelity Investments. Unlike traditional staffing agencies, we are an internal business unit within Fidelity’s Talent Acquisition team, dedicated to recruiting talent from various backgrounds for roles in Fidelity’s regional and investor center locations. Our mission is to help you experience Fidelity’s diverse and inclusive workplace while expanding your skill set and professional network, with the ultimate goal of conversion to full-time employment as part of Fidelity’s long-term strategy. To learn more about temporary positions at Fidelity Investments, visit FidelityTalentSource.com.
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