Fidelity Investments
Compliance Advisor
Smithfield, RI
Mar 15, 2025
Full Job Description

Job Description:

The Role

The Registered Principal associate (RP) reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies. The RP is responsible for executing timely review and identification of any non-compliant materials and consulting with compliance and content owners to ensure complaint communications are distributed to customers.

The Expertise and Skills You Bring

  • Series 7, 63, 24 required

  • 4-year college degree preferred

  • Directly related experience including communications, marketing or compliance experience preferred

  • Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures

  • Strong ability to understand and communicate sophisticated regulatory requirements

  • Effective communicator who is skilled at interactions with employees at all levels

  • Ability to multi-task and prioritize work according to changing deliverables

  • Ability to identify potential risks and issues and use good judgement to raise concerns

  • High level of personal integrity and professionalism

The Team

We support Fidelity's 401k plan sponsors in the creation and distribution of Fidelity's participant programs and delivery of communication and education. You will work internally with key business partners like Communications Consultants, Communications Project Managers, Marketing, and Compliance to ensure all distributed communications comply with applicable laws, rules and regulations and Fidelity policies.

Certifications:

Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA

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.

PDN-9e6f525d-f5a3-497e-9aa0-0980814f5d57
Job Information
Job Category:
Insurance
Spotlight Employer
Related jobs
TJX Companies, Inc
All 1,000 of our Marshalls stores embrace discovery, from designer luggage to statement shoes. Our assortment of brands is always changing, but our mission to provide the surprises that make the ever...
Mar 17, 2025
Miromar Lakes, FL
TJX Companies, Inc
Style is never in short supply at our more than 500 HomeGoods stores and we are constantly on a mission to provide the little surprises and extra touches that make a house feel like home. Same with w...
Mar 17, 2025
Neffsville, PA
TJX Companies, Inc
Retail Sales Associate
TJX Companies, Inc
Style is never in short supply at our more than 1,000 TJ Maxx stores. They all have different products, but the same commitment to the thrill of the find. From designers straight off the runway to sta...
Mar 17, 2025
Spartanburg, SC
©2025 Alpha Phi Alpha Fraternity, Inc.
Powered by TalentAlly.
Apply for this job
Compliance Advisor
Fidelity Investments
Smithfield, RI
Mar 15, 2025
Your Information
First Name *
Last Name *
Email Address *
This email belongs to another account. Please use a diferent email address or Sign In.
Zip Code *
Password *
Confirm Password *
Create your Profile from your Resume
By clicking the Apply button, you agree to the terms of use and privacy policy and consent to receive emails from us about job opportunities, career resources, and other relevant updates. You can unsubscribe at any time.
Continue to Apply

Fidelity Investments would like you to finish the application on their website.

Supercharge Your Resume with AI

Boost your resume with AI-driven enhancements. The tool analyzes and refines your content, highlighting your strengths and tailoring it for maximum impact. Get personalized suggestions and apply improvements instantly to stand out in the job market.