Job Description:
Senior Compliance Advisor, Political Law Compliance
The Team
The Political Law Compliance Team within the Ethics Office is responsible for Fidelity's Personal Political Contributions & Activities Policy and compliance with federal, state, and local pay-to-play, procurement and legislative lobbying, and campaign finance rules. To achieve compliance, they collaborate with a variety of business partners across the firm, such as Personal Investing, Workplace Investing, Fidelity Institutional, Asset Management, Government Relations, and other teams within the Ethics Office.
Political Law Compliance is part of the Conflicts Team. The Conflicts Team within the Ethics Office is responsible for four compliance programs: Outside Business Activities (OBAs), Political Law Compliance (PLC), Gifts and Entertainment (G&E), and Personal Conflicts of Interest (PCOI).
The Expertise We're Looking For
- Experience analyzing and applying complex federal, state, and local laws and regulations
- Excellent written and verbal communication skills with an ability to make complex topics easily understood
- Experience in compliance, legal, risk, or audit preferred
- Bachelor's degree required, JD or MBA strongly preferred
The Skills You Bring
- Strong research, critical thinking, organizational, and analytical skills
- Self-motivated with an unwavering commitment to excellence, accuracy, and quality
- Ability to balance day-to-day responsibilities with longer term projects within a challenging, deadline-driven environment
- You thoughtfully and efficiently drive tasks to completion
- You apply sound judgment to spot issues, assess risks, and identify and implement effective controls
- You critically evaluate information from multiple sources, ask questions, and reconcile differences to deliver crisp guidance
- You are naturally upbeat and collaborative with the ability to work independently
- You enjoy mentoring and training others
The Value You Deliver
- Researching and providing guidance to business partners on application of federal, state, and local lobbying and pay-to-play registration and reporting rules
- Managing lobbyist registration, reporting, training, and termination
- Coordinating state and local pay-to-play filings
- Analyzing and timely responding to associates' political contribution and activity requests
- Responding to regulatory and contractually mandated requests from business partners
- Reviewing public-sector requests for proposals and contracts for compliance-related restrictions and maintaining related records
- Collaborating to identify and implement new technology to support the team
- Drafting and maintaining operating procedures
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. Having the majority of our associates work onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most roles listed as Hybrid will require associates to work onsite all business days of every other week in a Fidelity office. This does not apply to roles listed as Remote or Onsite.
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.
