Risk Analyst

The duties of the Risk Analyst are to support Enterprise Compliance Management’s Anti Money Laundering programs and maintain full compliance with USA PATRIOT Act regulations as stipulated specifically within section 326 of the Customer Identification Program.

The purpose of your role is to support the companies Anti Money Laundering program and maintain compliance with USA PATRIOT Act regulations. A majority of our communications are with internal employees which includes all lines of business including retail, family office, Institutional Wealth Services, stock plan services, health savings as well as Correspondent firms directly.

• The Expertise We’re Looking For
  Bachelor's degree required
• Excellent interpersonal skills, both written and oral, as communicating with internal business units, customers, and correspondents will be required
• Ability to meet time-sensitive requests along with strong research and information gathering techniques
• Ability to balance multiple cases and prioritize accordingly.
• Ability to work as a great teammate as well as work independently.
• Ability to learn Fidelity systems including FBSI, FDOT, IRF, XTRAC
• The Skills You Bring
  Highly motivated, flexible, quality focused, teammate.
• Interested in quickly mastering Fidelity systems including FBSI, CACTUS, IRF, XTRAC, FDOT
• Have the ability to balance multiple cases and prioritize accordingly.
• Broad knowledge of the financial services industry strongly preferred
• The Value You Deliver
  Understanding the USA PATRIOT Act, Section 326 as well as any subsequent updates or guidance as put forth by the regulatory bodies or agencies including but not limited to the SEC, FINRA and FinCEN.
• Communicate directly with appropriate business liaisons and advance issues as appropriate to management in a timely and concise manner.
• Review incoming Customer Identification Program (“CIP”) incidents and perform research to ensure compliance and also minimize risk to the firm.
• Communicate compliance requirements to clients as necessary, restrict accounts as appropriate and bring up issues in a timely manner to senior team members or management.
• In addition to research, review and escalation responsibilities, adherence to a strict timeline and compliance schedule is paramount. This is all done in an effort to mitigate risk to the firm while also minimizing any negative impact to the client experience either real or perceived.
• Develop and participate in ongoing systems and process improvements. Participate in testing of any new system functionality and adapt to changes in policies or practices as required
• Serves as backup for other functional groups as needed.

Our aim is to combine the best of working offsite with coming together in person. For most teams this means a consistent balance of working from home and office that supports the needs of your role, experience level, and working style.

Your success and growth is important to us, so you’ll want to enjoy the benefits of coming together in person – face to face learning and training, quality time with your manager and teammates, building your career network, making friends, and taking full advantage of cultural and social experiences Fidelity provides for you.