Compliance Advisor (RP)

Job Description:

Note:

Fidelity will not provide immigration sponsorship for this position. 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. Fidelity's Onsite Working Model Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.

Certifications:

Category:

Compliance 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