Senior Compliance Advisor

Job Description:

Senior Compliance Advisor

The Role

The mission of Workplace Investing Compliance is to enable the development of new products and services to help WI achieve strategic objectives in line with business philosophies, firm policies, and regulatory requirements, while acting as guardians to manage and mitigate regulatory, contractual, and compliance risks.

The Expertise and Skills You Bring

• Bachelor’s degree, or equivalent, MBA and/or JD is a plus.

• Experience in areas of operations, program management, data analysis & reporting, requirements gathering and/or controls.

• Experience  in compliance, risk management, audit and/or quality preferred.

• Experience in HIPAA covered products, retirement, health and/or insurance a plus.

• Strong interpersonal and influencing skills, including ability to collaborate across the organization, with peers and senior level management, to deliver results.

• Excellent verbal and written communications skills - ability to present ideas and complex information clearly and effectively through multiple channels.

• A proven track record to identify, analyze, prioritize, and resolve problems independently, and call out matters when appropriate.

• Ability to land and learn, ask questions and demonstrate critical thinking.

• Ability to plan and execute routines and projects timely by delivering on the objectives and managing the expectations of key stakeholders.

• Microsoft Office suite of applications, including SharePoint, are some of the many tools in your toolbox.

• Conducting monitoring, audits, and analysis to detect compliance concerns.

• Providing decision support to resolve compliance issues that arise regarding our program.

• Enhancing associate resources and training to build a more flexible team.

• Enhancing quality and consistency of core compliance functions/services.

• Developing improved reporting, driving visibility, and measurement of compliance program health.

• Providing compliance guidance for products, services and projects; collaborating with Fidelity Health from business requirements, development, implementation and measurement of key governance activities.

• Supporting Incident Management and response, assessing, communicating and escalating when appropriate.

• Reviewing and approving of internal and external collateral.

• Supporting the monitoring, review and dissemination of requirements of new/modified laws, regulations and other applicable guidance.

• Managing and delivering on compliance projects and tasks.

Note: Fidelity is not providing immigration sponsorship for this position

The Team

We support compliance readiness activities related to regulatory rules and requirements and provide support for the wide array of products and services offered by Workplace Investing and Fidelity Health.  Fidelity Health clients and customers benefit from products and services including Health & Welfare Administrative Services, Health Savings Accounts, Flexible Spending and Reimbursement Accounts, Fidelity Health Insurance Services, LLC and Medicare Services.

The team engages with Fidelity Health across client-facing, participant-facing, operations, and agile product functions, just to name a few. We also work closely with Legal and Risk partners and other Compliance teams within Fidelity to help our business partners achieve their strategic objectives in a compliant manner, and to help protect our customers and Fidelity.

Certifications:

Category:

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles.

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.