Compliance Advisor

Job Description:

Compliance Advisor – Digital Compliance Records and Information Management (RIM)

The Compliance Advisor is a member of the Digital Compliance Records and Information Management (RIM) team. This team member will support a book of business to aid and provide governance to business unit Records Management programs and enable end-to-end work with key stakeholders on initiatives and programs. The Compliance Advisor works independently and consults with the Head of Records and Information Management, as needed, while supporting or leading moderate to complex projects and programs. This work is varied and often time sensitive; it can range, for example, from policy drafting, systems upgrades and replacements, regulatory rules implementation, to controls governance and supporting of new product offerings.

The Expertise You Have  

• 4+ years compliance, project management, program management, or practical technology collective experience in any of the following areas, digital technologies, data management/analysis, and development/automation

• Support large and complex bodies of work with cross-functional teams as assigned, with support from team members as the opportunity arises
• Can build a reputation as a point of contact and subject matter expert while managing and driving forward key initiatives and major programs
• Ability to build relationships with a focus on internal customers and partners
• Experience working with Fidelity’s other Legal Regulated Entities and our Compliance, Audit, Risk, or Technology business partners
• Familiarity with the regulatory landscape and industry Regulators such as FINRA and SEC

The Skills You Bring

• Effectively and dynamically learn regulatory, business, and technology concepts as dictated by the work; proactively apply that knowledge accordingly while demonstrating an interest and curiosity about the subject matter

• Ability to present a point-of-view (POV) along with options and recommendations for process improvements or a course of action
• Identifies who the decision makers are and presents ideas or recommendations, in a persuasive manner, to successfully influence their decisions and leads to action
• Comfortable with ambiguity and effectively navigating in a fluid environment (e.g., in situations where there is uncertainty and/or limited information)
• Persuasive communication (oral and written), organizational and prioritization skills
• Program and project management competencies that demonstrate robust problem solving, analytical skills, and creative thinking
• Ability to simultaneously identify, prioritize, and address multiple issues and quickly respond to shifts in priorities; demonstrate flexibility and adaptability
• Collaborates through a proactive/constructive dialogue with team members and partners.
• Unassailable integrity with strength of character to express opinions and respectfully challenge other points of view
• Results driven

The Value You Bring

• Assume ownership for the end-to-end process and understand the prioritization of tasks and milestones on initiatives, programs, and projects to which you are assigned; ensure that deadlines are not missed
• Articulate the value of the work you are delivering
• Know when to challenge a routine if there is no value in doing, but also be able to offer a solution if there is a better way to deliver
• Provide support to business compliance and technology partners, as needed
• Ability to work across people & teams in a constructive and adaptive way to “get the job done.”

The Team

This person is part of a Records and Information Management team responsible for leading and coordinating the delivery and execution of a comprehensive Records and Information Management regulatory program (including SEC 17a-3 and 4, SEC 17ad-6 and 7, FINRA 4511 and MSRB) for Fidelity businesses. The team:

• Lead and work on projects and programs to ensure compliance with regulations.
• Work with Records Managers from each Fidelity business and corporate function to annually review records retention schedules and ensure consistent and compliant implementation of policies and standards across the firm.
• Coordinates firm-wide official records related incident responses, including timely communication of issues.
• Help improve the records and information management community through education, socialization and leading by example.
• Collaborates with partners including Compliance, Technology, Risk, Cybersecurity and Global Security partners, senior business leaders, internal auditors, vendors, and regulators.

Certifications: