Regulatory Compliance Advisor

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The Regulatory Compliance Advisor is responsible for helping to promote a comprehensive NASD compliance program for FESCo. The focus of the securities compliance program is to:  (i) help ensure that business unit procedures used in providing services to our clients are consistent with applicable securities laws, SEC/NASD rules and regulations, and Fidelity policies and procedures; (ii) provide FESCo associates with the information and tools needed to help ensure compliance; and (iii) foster an overall culture of regulatory compliance within FESCo.

 

 

Major Responsibilities:

 

1.  Work under the direction of FBC Regulatory Oversight management to support FESCo business units to help ensure compliance with applicable broker-dealer rules and regulations and firm policies.

 

2.  Maintain a working knowledge of broker-dealer rules and regulations to support the FESCo organization.

 

3.  Review securities registration reports for FESCo associates, identify and resolve concerns and issues.  

 

4.  Manage relationships with key contacts within FESCo business units to accomplish tasks.

 

5.  Assist FBC Regulatory Oversight management with training initiatives for associates and supervisory principals in FESCo business units.

 

6.  Assist the FBC Regulatory Oversight Team in the development and implementation of new policies, procedures, tools, and other business initiatives as directed.

 

7.  Assist registered associates with compliance related questions, identifying issues that require escalation to supervisory management or to FBC Regulatory Oversight management.

 

8.  Assist in monitoring activities of associates and supervisory principals within FESCo to help ensure compliance with broker-dealer rules and regulations, and Firm policies. 



Education: Undergraduate degree


 


Experience:2+ years of regulatory compliance-related experience.  


 
Licenses:NASD securities licenses permitted.


 


Skills, Knowledge, Competencies:


 


? Familiarity with SEC, NASD and state broker-dealer rules and regulations, and Firm policies  


 


? Ability to work independently and as an effective team member


 


? Ability to multi-task assignments


 


? Strong interpersonal and relationship management skills


 


? Strong research skills


 


? Strong organizational skills


 


? Strong communication skills