About This Role
This Associate Compliance Analyst role is part of a team that provides service support to employees and administers employee accounts, transactions, statements, and required disclosures. The position ensures that these activities meet the requirements of Fidelity’s Code of Ethics and Compliance policies.
Responsibilities
- File initial registration applications (Forms U4), amended applications (Form U4 amendments), and requests to terminate registrations (Forms U5) with FINRA
- Administer employees’ personal trading account disclosures, statements, and transactions in support of trade surveillance
- Resolve Error Queue items to ensure that statements received via physical mail are in good order
- Provide outstanding customer service to all levels of Fidelity associates regarding their registration and licensing needs and statement reporting requirements
- Perform various administrative duties, including mail handling and filing
- Analyze Compliance requirements and rules to determine if potential business impact exists and escalate as appropriate
- Work with other team members to identify, resolve, and address issues
- Maintain strong working relationships with peers and managers within and across compliance teams (internally focused)
Requirements
- 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
- Strong presentation, written, and interpersonal communication skills
- Problem-solver who inspires creative solutions
- Unwavering commitment to accuracy and quality
- Excellent organizational, operations, and process management skills
- Ability to handle multiple tasks and priorities simultaneously
- Ability to overcome unexpected obstacles with little or no supervision
- Strong research and analytical skills
- Ability to thoughtfully and efficiently drive tasks to completion
- Excellent attention to detail and ability to communicate defects clearly with relevant information
- Ability to apply sound judgment to spot issues, assess risks, and identify items requiring escalation
- Proficient in common MS Office applications and able to quickly learn and gain proficiency with internal websites, databases, and applications
About the Company
Fidelity Compliance provides compliance policy oversight and advisory services that help Fidelity ensure compliance with Federal and State regulations, manage risk, protect associates and customers, and enhance business performance.
