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Job Description:

Compliance Advisor: Ethics Office, Trade Monitoring

The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and committed to providing sound and consistent guidance that effectively mitigates conflicts of interest.

A critical component of the Ethics Office is the Personal Trade Monitoring Team. As a key member of this team, you will assist with the development and application of policies and procedures related to employee personal trading in digital assets, while also supporting the team’s monitoring of employees’ securities trading for compliance with Fidelity’s Code of Ethics for Personal Investing. You will work closely with multiple business partners and apply sound judgement while answering questions related to Fidelity’s rules about owning and trading securities or digital assets for personal benefit.

The Expertise and Skills You Have

BA/BS degree required.
Minimum 5 years of financial services experience (compliance, trade operations, or investment support experience preferred).
Solid understanding and interest in the digital asset sector; including cryptocurrency trading, regulatory framework, and new product offerings.
Ability to understand complex issues, particularly with respect to digital assets, and provide clear and concise explanations in written and verbal communications.
Strong interpersonal skills to effectively collaborate with various departments to cultivate a culture of compliance.
Ability to establish priorities, work independently, and follow through on assignments with minimal supervision within a fast-paced and challenging environment.

The Value You Deliver

Assist in the development of policies, procedures, and eventual monitoring of employee personal trading in digital assets.
Execute day-to-day operations related to the monitoring and oversight of employee trading for compliance with Fidelity’s Code of Ethics for Personal Investing.
Support the development, implementation, and maintenance of comprehensive compliance policies and procedures that align with both regulatory obligations and organizational objectives.
Educate and assist employees with their understanding of Fidelity’s personal trading policies, particularly new policies related to digital assets.
Apply sound judgment to recognize issues, assess risks, and identify items requiring escalation.
Improve the associate experience while maintaining a strong culture of compliance.

Certifications:

Category:

Compliance

Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.

We welcome those with experience in jobs such as Bilingual Customer Service , Residential Real Estate Agent, and Billing and Posting Clerk and others in the Accounting and Finance to apply.

Average salary estimate

$100000 / YEARLY (est.)

min

max

$80000K

$120000K

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What You Should Know About Compliance Advisor, Fidelity Investments

As a Compliance Advisor at Fidelity, located in the vibrant Suffolk County area of Massachusetts, your primary focus will be on ensuring the company's adherence to regulatory requirements while protecting our esteemed reputation. You'll be a critical member of the Ethics Office, working closely with business units, compliance, and legal teams to navigate the nuances of personal trading in digital assets. Your responsibilities will include developing and applying policies related to employee trading while also monitoring transactions to ensure compliance with Fidelity's Code of Ethics. Your experience in the financial services industry will be invaluable as you leverage your understanding of cryptocurrency trading and current regulatory frameworks. You’ll guide employees through personal trading procedures, ensuring they feel supported and informed. This role calls for strong interpersonal skills, allowing you to cultivate a compliance-oriented culture across various departments, all while working in a fast-paced environment that values independent judgment and initiative. If you're passionate about the digital asset sector and eager to impact our associates’ experiences positively, we invite you to bring your insights and expertise to Fidelity's Compliance team!

Frequently Asked Questions (FAQs) for Compliance Advisor Role at Fidelity Investments

What are the main responsibilities of a Compliance Advisor at Fidelity?

As a Compliance Advisor at Fidelity, you will oversee the development and implementation of policies concerning employee personal trading in digital assets. This includes daily operations related to monitoring employee trading, ensuring compliance with Fidelity’s Code of Ethics. Additionally, you'll be educating employees on these policies while applying judgment to recognize and assess potential compliance issues.