Job Description:
The Role
The Compliance Advisor is responsible for conducting compliance activities in support of Fidelity's retail annuity and life insurance business. The Compliance Advisor is a member of a team of compliance professionals that seeks to ensure Fidelity's retail insurance business complies with applicable state and federal insurance regulations. Primary responsibilities are representing Compliance at meetings with business partners, preparing and conducting regulatory filings with state insurance departments and the Securities and Exchange Commission, and reviewing marketing and training materials.
The Expertise and Skills You Bring
- Bachelor's degree required
- 5+ years of financial services experience required
- Legal, risk, or compliance experience preferred
- Background in Insurance and/or Annuities preferred.
- Strong problem solving and analytical skills
- Excellent interpersonal and written/verbal communication skills
- Efficient and works in a fast-paced environment and can multi-task across multiple initiatives
- Creates and maintains strong business relationships, builds trust, and fosters collaboration
- Develops and maintains compliance programs which support designated business units
- Identifies, escalates and consults on problems and issues across the business unit and helps develop strategic solutions to address business needs
- Embraces challenges and is a "go getter" who constantly looks for opportunities to continuously improve!
The Team
This role is part of the Fidelity Wealth & Brokerage Compliance. The Compliance Advisor works closely with legal and other compliance professionals on this team and from across the firm to provide high quality compliance support to the insurance company's product development and marketing teams. We have a relentless commitment to protecting the firm's valuable reputation by ensuring that we do what is right for our customers and adhering to applicable laws and regulations!
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 working model blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).
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, or by calling 800-835-5099, prompt 2, option 3.
