Compliance Advisor

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.