Compliance Advisor, Ethics Office at Fidelity Investments

Westlake, Texas, United States -

Full Time

Start Date

Immediate

Expiry Date

06 Mar, 26

Salary

0.0

Posted On

06 Dec, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Risk Management, Audit, Legal Knowledge, Communication Skills, Interpersonal Skills, Leadership Skills, Technology Proficiency, Data Analytics, Problem Solving, Research Skills, Analytical Skills, Operational Precision, Process Improvement, Decision Making, Attention to Detail

Industry

Financial Services

Description

Job Description: The Role As a Compliance Advisor in the Ethics Office, you will be responsible for reviewing associates’ gifts and entertainment ('G&E') and Personal Conflicts of Interest (PCOI) disclosures. You will help ensure that Fidelity protects its reputation and complies with a variety of federal, state, and local ethics and gift laws and regulations. You will support the team by reviewing and processing disclosures and responding to associate inquiries. You will routinely provide guidance to Fidelity associates regarding the Corporate Gifts & Entertainment Policy and Personal Conflicts of Interest Policy. You will help automate our processes and drive innovation to improve the associate experience. You will support the transformation of the PCOI Program by helping develop processes and implement technology solutions. You will work closely with and have opportunities to learn from other Fidelity Ethics Office and compliance members, business and technology partners, and legal counsel. The Expertise and Skills You Bring Bachelor’s degree with at least 3 years of relevant work experience required. Knowledge of compliance, risk, audit, or legal functions preferred. Juris Doctor (JD) preferred. Excellent written and verbal communication, interpersonal, and leadership skills. Technology experience is a plus. You are proficient in common office applications (e.g., Excel, PowerPoint, SharePoint) and can quickly learn and master internal websites, databases, and applications. You are committed to operational precision, can accurately process work items from a queue, and can effectively handle multiple time-sensitive tasks and priorities at a time. You can use problem solving skills to overcome unexpected obstacles with little or no supervision. You possess strong research and analytical skills and are comfortable with data analytics. You have a strong sense of ownership over your work, thoughtfully and efficiently drive tasks to completion, and are dedicated to accuracy, quality, and integrity. You apply sound judgment to spot issues, assess risks, and identify items requiring escalation. You can evaluate opportunities for improvements in processes through technology solutions. You are an energetic, positive, adaptive, and results focused contributor. The Value You Deliver You analyze, disposition, and escalate employee G&E disclosures. You consult legal guidance to assess the appropriateness of gifts and entertainment given to government officials. You detect potential policy violations via e-communications review. You effectively communicate with associates who have not fulfilled their compliance obligations. You monitor program mailboxes and respond to inquiries in a timely manner. You advise associates and managers on the G&E and PCOI policies. You support proactive reviews and risk assessments. You support existing processes and help identify potential process improvements. You review and complete reporting, execute program oversight controls, and maintain operating procedures. You are a thoughtful decision maker who strives to enhance the associate experience while maintaining a strong culture of compliance. Note: Fidelity is not providing immigration sponsorship for this position The Team The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance, customer protection, and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and are committed to providing sound and consistent guidance that effectively mitigates conflicts of interest while allowing associates to engage in personal activities. Certifications: Category: Compliance Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories. 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 participate in the application or interview process. To initiate a request for an accommodation please contact the following: For roles based in the US: Contact the HR Leave of Absence/Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 2 For roles based in Ireland: Contact AccommodationsIreland@fmr.com For roles based in Germany: Contact Accommodationsgermany@fmr.com Fidelity Privacy Policy

Responsibilities

As a Compliance Advisor, you will review associates’ gifts and entertainment disclosures and Personal Conflicts of Interest disclosures. You will provide guidance on compliance policies and support process automation and technology solutions.