Risk Management
Vice President, Compliance Advisor
- Merrimack, NH
- Covington, KY
Salary depends on a variety of factors including location and experience. Your recruiter will discuss with you.
Salary: listed in the job description
or discussed with your recruiter
Job Description:
The Role
Are you a rule follower and an innovator?? As a Vice President, Compliance in Workplace Investing & Healthcare Compliance, you can do both!! Come lead a team of compliance professionals helping to invent the future of Fidelity by supporting a wide array of initiatives providing better ways for employers to successfully manage employee benefits, and for customers to manage their financial and healthcare needs. You will provide guidance to business partners on the key rules and regulations that must be followed when building innovative solutions for our clients and customers.
As part of the broader Enterprise Compliance team, this role within Workplace Solutions Compliance works closely with partners in Legal, Risk, Product and other business functions to help ensure that products and services offered by Workplace Investing & the Health Care Group to employee benefit plans, employers, and customers meet relevant ERISA, DOL, IRS, CMS, specific federal, state, and local and other applicable laws, regulations, directives and standards pertaining to Fidelity. In this role you will engage with senior level management to inform and influence key product and process decisions to help ensure compliance.
The Expertise and Skills You Bring
- Bachelor's Degree
- JD or other advanced degree preferred (ERISA or similar specialty)
- A track record of successfully operating across diverse business units, motivating change and influencing stakeholders to enhance awareness of applicable regulations and strengthen risk management processes.
- 12+ years of compliance or related experience at a financial institution, regulatory agency, law firm or major consulting firm
- Executive-level presence, with the communication and organizational skills to effectively influence firm leadership on prudent courses of action.
- Skill at building relationships and navigating readily across large, complex organizations.
- Savvy strategic problem solver who drives innovative regulatory and technology solutions
- Collaborates through a proactive/constructive dialogue with senior management, peer leaders, clients, audit committees and regulators.
- High-energy, positive, and entrepreneurial in spirit, while goal-oriented and results-driven
- Impactful communicator who is direct, plain spoken, and “tells it like it is” with a genuine/authentic demeanor, while enabling candid debate; knows when and how to advance problems.
- Integrity with strength of character to express opinions and challenge the status quo.
- Superior teamwork skills and ability to professionally influence others across groups.
- Strong critical thinking and problem-solving skills
- Proven leadership ability
- Keen interest and commitment to help others succeed.
- Expert knowledge of federal laws, regulations, and agencies governing business lines supported (e.g. ERISA, Department of Labor, Internal Revenue Service, Health & Human Services, Center for Medicare & Medicaid Services, state Departments of Insurance) is strong.
- Proven interpersonal and influencing skills, including ability to collaborate effectively across all levels of the organization, to deliver results.
- Excellent verbal and written communications skills – ability to present ideas and complex information clearly and effectively through multiple channels.
- Microsoft Office suite of applications, Sharepoint, and eReview are some of the many tools in your toolbox.
- Leadership – Develop positive relationships with key partners across Legal, Compliance, Risk, other support functions and Business Units and provide leadership to deliver timely and effective risk management solution.
- Supporting associate licensing needs to enable business selling strategies.
- Regulatory Compliance- Develop relationships across legal, compliance, risk and the businesses providing guidance for new and enhanced products and services throughout lifecycle of a project from business requirements development, review and approval of internal and external collateral, to roll-out and measurement of key governance activities.
- Monitoring, reviewing and disseminating requirements of new laws, regulations and other guidance applicable to employee benefit plans and the products offered in the areas of accountability.
- Providing decision support to resolve compliance issues that arise in the business.
- Drafting and reviewing policies and procedures for specific compliance content
- Communication & Metrics – Focus on improving data, monitoring, and reporting by demonstrating dashboards and business forums that galvanize leaders to action.
- Support New Business & Product Growth – Develop flexible and scalable solutions to achieve compliance with applicable rules and guidance while maintaining Fidelity’s strong compliance culture.
The Team
Our Compliance team effectively leads compliance readiness activities related to new regulatory rules and requirements, and provides product and service support to the Workplace Investing & the Health Care Group businesses
#ComplianceJobs
Certifications:
Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients’ money.
Join Us
At Fidelity, you’ll find endless opportunities to build a meaningful career that positively impacts peoples’ lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees’ Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you’ve always imagined.
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 all business days of every other week in a Fidelity office.
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
We invite you to Find Your Fidelity at fidelitycareers.com.
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to accommodations@fmr.com.
Company overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want! We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences. For information about working at Fidelity, visit FidelityCareers.com. Fidelity Investments is an equal opportunity employer. Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process.
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This is my Fidelity
Benefits that adapt to everything life sends your way
401(k) with company match
Medical, dental, vision and prescription drug coverage
16-week maternity leave & 12-week parental leave
Student loan assistance
Fidelity is invested in you
Committed to Professional Development
At Fidelity, we are constantly adapting to the changing needs of our customers, new technologies, and better ways of working. And we empower our employees to do the same, with an emphasis on developing skills and connections that will help propel you forward in your career while being able to make an impact for Fidelity’s customers around the world.
We offer a wide range of options for professional development including online, in-person, and mentor driven solutions. Special interest and networking groups are also part of our culture of empowerment, personal and professional enrichment, diversity and inclusion, and knowledge sharing.
Continuing Education & Training
- Assess, build, and align your development plan through resources like our skill-building classroom and online courses.
- Video-based training for technology, leadership, management & more.
- Ongoing skills development and coaching opportunities.
- Paid training with a facilitator who is dedicated to your onboarding and will track and evaluate your progress, giving you strategies to improve.
- A range of talent development programs to support career mobility.
Mentoring
- Utilize the skills of experienced leaders to enrich your career.
- Dedicated mentors to help you grow into new areas of Fidelity’s business as you develop new skills.
- An open atmosphere of knowledge sharing and collaboration.
- Opportunities to pay it forward, sharing the knowledge you develop and as you help others define how they want their career to take shape.
Our Commitment to Diversity and Inclusion
"Fidelity believes in, and is committed to, fair and equitable treatment for every associate and customer, and to creating a safe and respectful environment, in which everyone is treated with kindness, compassion and respect." Abby Johnson | Chairman and CEO Fidelity Investments
At Fidelity, we are committed to building an enduring culture of inclusion and belonging that will attract, develop and retain a diverse workforce.
Fidelity’s ten affinity groups are self-organized groups of employees with common interests in areas such as race, ethnicity, gender or sexual orientation, or who share similar interests based on similar sets of experiences.
These Employee Resource Groups and Special Interest Groups are models of inclusion for Fidelity. They’re also a powerful form of engagement and development and can provide a pathway to visible leadership roles. Our affinity groups make a large contribution on the business, helping to ensure our products and services are delivered in a welcoming and equitable environment.
- Over 22K employees participate in an affinity group.
- Over 1,400 affinity group members volunteered for Fidelity Cares in 2020.
- 74% increase in affinity group memberships over the last three years.
Giving Back to Our Communities
Throughout Fidelity, you’ll find a genuine commitment to social responsibility – where we strive to make an impact for customers, while also making an impact on the world.
Fidelity Cares
- Provides associates with opportunities to actively volunteer and share their talents.
- Hosts numerous company-wide volunteer events (in-person and virtual).
- Partners with nonprofit organizations to support our local communities.
- More than 12,000 associates donate time annually – from interns to SVPs.
- Impact includes refurbishing schools, donating books and supplies, and teaching financial literacy.
Fidelity Charitable®
- Created to make it easy for people to support charitable organizations they care about.
- Helped deliver $7.3 billion in donor-recommended grants to charity in 2019.
- Supported more than 300,000 unique charities around the world.
- Since its inception, more than $42 billion has been given to public charities.
