Sr. Risk Advertising Reviewer

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Supporting various FIIS business units, the Sr. Risk Officer acts as program manager for FIIS products & other initiatives & is responsible for independent review of advertising and sales literature to ensure compliance with SEC, NASD, ERISA and MSRB rules and regulations and Fidelity policy.  Provides dedicated compliance support to Marketing and other FIIS business units to ensure compliance with regulatory standards and internal policies as they relate to these products & the production and distribution of advertising, sales and other marketing communications.  Identify potential legal and operational exposure in various media by reviewing communications & products,  interactive tools  & systems enhancements  for SEC, NASD, ERISA, MSRB and Tax compliance.  Coordinate and negotiate the resolution of all legal comments while mitigating regulatory and reputational exposure to the firm. Acts as a business advocate and resource through the legal/compliance review processUsing eReview system, independently review and approve advertising, sales literature and other communications produced or distributed by FIIS to ensure compliance with SEC, NASD, ERISA and Tax rules and regulations.  Act as a product line specialist and subject matter expert supporting FIIS initiatives.Coordinate and negotiate the resolution of all legal comments and facilitate and streamline legal review process.  Participates in intercompany review of tools, systems projects, initiatives & materials representing FIIS.Act as Risk program manager for various products and other projects supporting FIIS initiatives.  Provide oversight & guidance for FIIS business units & support services.  Act as subject matter expert for product initiatives. Continually train team members in Risk, Marketing personnel & other business units by developing regulatory training modules ensuring competency in applying advertising rules, ERISA and internal standards as they relate to communications.Representing Risk, proactively identify and assess risk related issues pertaining to business unit product and services related to communications materialParticipate in the development of sales and marketing collateral to ensure that such materials are produced and used in accordance with legal and corporate requirements.  Advocate on behalf of FIIS Marketing groups to gain legal support for initiativesInteract with legal groups by meeting regularly to review current and pending legislation that may affect communication materials.  Continually enhance subject matter expertise and interpret the effect of changes on the business.Identify and develop policies and procedures, as needed, for legal and compliance review including guidelines for business units.Review FIIS and Retail systems initiatives & enhancements, tools & policies & procedures for FIIS specific use as required. Participates in intercompany review of tools & materials representing FIIS.

 

 

 

Bachelor’s degree and 7 years financial services business experience requiredThorough  knowledge of SEC,  NASD and MSRB advertising rules, as well as ERISA regulations Fundamental understanding of marketing strategies and program developmentStrong financial services product and industry knowledgeExcellent organizational & self-management skillsStrong communications, negotiation & interpersonal skillsAbility to follow-up, resolve outstanding issues & negotiate effectively with business partners in a professional mannerWell developed writing skillsIn depth knowledge of FIIS and Fidelity products & services as well as SEC,  NASD and MSRB rules & regulations as they apply to sales & advertising communicationsAbility to meet strict deadlines & juggle many initiative in high volume environmentSeries 6, 7, 63, 24, 26, 51, 53 a plus