The Associate Compliance Analyst is part of a team responsible for providing registration and licensing support to maintain the securities registrations, investment advisor appointments, and insurance licenses for our associates and the broker-dealer registrations for Fidelity.
The Expertise You Have:
- Bachelor's degree required
- Previous phone or customer service and operations experience required
- 1-2 years of relevant experience in audit, regulatory, risk or compliance environment preferred
- Strong problem solving and data analytical skills
- Positive attitude and goal-driven
- You're a problem-solver and inspire creative solutions
- You have an unwavering commitment to accuracy and quality
- You possess excellent organizational, operations, and process management skills
- You can handle multiple tasks and priorities simultaneously
- You can overcome unexpected obstacles with little or no supervision
- You possess strong research and analytical skills
- You thoughtfully and efficiently drive tasks to completion
- You have an excellent attention to detail and ability to communicate defects clearly with relevant information
- You apply sound judgment to spot issues, assess risks, and identify items requiring escalation
- You are proficient in common MS Office applications and can quickly learn and master internal websites, databases, and applications
- Filing of initial registration applications (Form U4), amended applications (Form U4 amendments), and requests to terminate registrations (Form U5) with FINRA.
- Determining if certain associate events are reportable on the Form U4.
- Responding to associate inquiries regarding applications and registration status.
- Providing education and information to associates and Supervisory Principals regarding the maintenance of FINRA registrations and state insurance licenses.
- Providing outstanding customer service to Fidelity associates regarding their registration and licensing needs.
- Working with other team members to identify, resolve and address issues.
Fidelity Enterprise Compliance provides support to Fidelity Businesses and associates in obtaining and maintaining their securities registrations with FINRA and their state insurance licenses to help Fidelity ensure compliance with Federal and State regulations, manage risk, protect our associates and our customers, and enhance business performance.
Company Overview
Fidelity TalentSource is the in-house temporary staffing provider for Fidelity Investments, one of the largest and most diversified global financial services firms in the industry. We welcome individuals from all backgrounds, including technology and customer service, to fill assignments across Fidelity’s U.S.-based regional and investor center locations. If you would like to experience Fidelity’s supportive and collaborative culture while expanding your skill set and developing your professional network, consider a role with Fidelity TalentSource. Apply today at FTSJobs.com.
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 TalentSource 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 our HR team at HR@ ftsjobs.com.
Information about Fidelity Investments
At Fidelity Investments, our customers are at the heart of everything we do. As a privately held company with a rich 75-year history, our mission has remained the same since our founding: 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. For information about working at Fidelity, visit FidelityCareers.com.
Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Having the majority of our associates work onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most roles listed as Hybrid will require associates to work onsite all business days of every other week in a Fidelity office. This does not apply to roles listed as Remote or Onsite.
Fidelity Investments and Fidelity TalentSource are equal opportunity employers.
