Compliance Advisor - job 1 of 2

As a Compliance Advisor at Fidelity, your key duties include assisting in the development of compliance policies relating to employee personal trading, particularly in digital assets. You'll execute day-to-day operations for monitoring employee securities trading to ensure compliance with Fidelity's Code of Ethics for investing. Furthermore, you'll educate employees on these policies and provide guidance on personal trading, ultimately contributing to a strong culture of compliance.

To qualify for the Compliance Advisor position at Fidelity, candidates must hold a BA/BS degree along with a minimum of five years of experience in financial services, preferably in compliance, trade operations, or investment support. Additionally, possessing a solid understanding of the digital asset sector, including cryptocurrency trading and its regulatory framework, is essential.

The Compliance Advisor plays a critical role in enhancing the associate experience by ensuring that the guidelines around personal trading are clear and accessible. By educating and assisting employees regarding compliance policies, particularly those involving digital assets, the Compliance Advisor helps create an informed workforce that feels secure in their trading activities, contributing to overall job satisfaction.

Fidelity's hybrid work model for Compliance Advisors combines onsite and offsite work experiences to maximize productivity and collaboration. While most roles require associates to work onsite every other week, primarily for team engagement, there are also benefits to working offsite. This balance reflects Fidelity's commitment to flexibility while ensuring strong business strategies and cultural cohesion.

Success as a Compliance Advisor at Fidelity hinges on robust analytical and communication skills. You should have the ability to simplify complex issues related to digital assets and communicate them effectively to various departments. Strong interpersonal skills and a knack for teamwork are equally crucial, as you'll collaborate across departments to foster a culture of compliance.

In your response, highlight your relevant experience, focusing on your roles, responsibilities, and accomplishments in compliance or trade operations. Discuss specific projects or initiatives you've led or contributed to, emphasizing any experience dealing with regulations related to digital assets and trading.

When answering this question, explain your process for policy development, including stakeholder engagement, risk assessment, and how you ensure alignment with organizational objectives. Provide examples of successful policies you've implemented in previous roles, particularly those that enhanced compliance culture.

Use the STAR method—Situation, Task, Action, Result—to structure your answer. Detail a specific compliance challenge you faced, your assessment of the issue, the actions you took to resolve it, and the positive outcome of your efforts. Highlight your critical thinking and decision-making skills.

Discuss the resources, networks, or publications you rely on to keep abreast of industry news and regulatory changes. Highlight your commitment to continuous learning and the importance of staying informed in the rapidly evolving landscape of digital assets. Mention any certifications or training you pursue.

Outline your approach to employee education, which could include creating training materials, organizing workshops, and establishing a feedback loop to assess understanding. Stress the importance of creating a supportive environment where employees feel comfortable asking questions about compliance.

Discuss the importance of a fair and consistent approach in addressing violations. Talk about how you would gather facts, assess the situation according to established policies, and follow through with appropriate corrective actions while ensuring the employee understands the implications of their actions.

Demonstrate knowledge of Fidelity's Code of Ethics by summarizing its key components, including requirements for personal trading, the importance of conflict of interest management, and how adherence to these guidelines contributes to Fidelity’s integrity and reputation. Reference any relevant experiences you have with similar codes in past roles.

Explain your prioritization strategies, such as using task management tools, evaluating deadlines, and assessing the potential impact of tasks. Share examples from your past experiences where effective prioritization led to successful outcomes, especially in a compliance context.

Use a specific instance to illustrate how you fostered collaboration among departments. Focus on communication strategies, conflicts resolved, and the positive results that came from working together. Highlight how this ability is essential in a Compliance Advisor role.

Articulate your enthusiasm for the position by connecting your background, values, and career aspirations with Fidelity's mission and the specific responsibilities of the Compliance Advisor role. Mention your interest in the ethical challenges of personal trading in the digital asset space.