Compliance Jobs - Fidelity Investments

Fidelity Investments
Smithfield, RI
Compliance

Compliance Advisors on the FIAMC Communications Review team help ensure the firm’s compliance with regulatory standards pertaining to communications with the public. Primary responsibilities include: reviewing marketing materials; interpreting and applying regulatory guidance across multiple communications channels; formulating related policies and procedures, supporting new products and FIAM busi . . .

Fidelity Investments
Smithfield, RI
Compliance

The Compliance Director in FBS Compliance’s Brokerage Advisory Compliance group (BRAC) primarily supports brokerage trading products and services and securities products including fixed income, options, ETFs, and mutual funds within Personal Investing, although supported functions frequently change based on business needs and resources. In this role, you will be responsible for helping the busin . . .

Fidelity Investments
Merrimack, NH
Compliance

The Compliance Director in FBS Compliance’s Brokerage Advisory Compliance group (BRAC) primarily supports brokerage trading products and services and securities products including fixed income, options, ETFs, and mutual funds within Personal Investing, although supported functions frequently change based on business needs and resources. In this role, you will be responsible for helping the busin . . .

Fidelity Investments
Westlake, TX
Compliance

The Compliance Director in FBS Compliance’s Brokerage Advisory Compliance group (BRAC) primarily supports brokerage trading products and services and securities products including fixed income, options, ETFs, and mutual funds within Personal Investing, although supported functions frequently change based on business needs and resources. In this role, you will be responsible for helping the busin . . .

Fidelity Investments
Westlake, TX
Compliance

The Senior Contracts Manager will work closely with Fidelity sales, relationship management, legal resources, and implementation teams to drive efficient and risk-reducing contract processes in support of Fidelity’s defined contribution, defined benefit and health & welfare practices. The Expertise We’re Looking For 4-year college degree, JD strongly preferred Relevant compliance/legal experien . . .

Fidelity Investments
Smithfield, RI
Compliance

The Senior Compliance Advisor in FBS Compliance’s Brokerage Advisory Compliance group (BRAC) is responsible for providing compliance support to key strategic business groups by coordinating the review of communication and marketing materials about new products and services for compliance with securities laws, Fidelity policies, and other applicable rules and regulations. As a member of the Planni . . .

Fidelity Investments
Merrimack, NH
Compliance

The Senior Compliance Advisor in FBS Compliance’s Brokerage Advisory Compliance group (BRAC) is responsible for providing compliance support to key strategic business groups by coordinating the review of communication and marketing materials about new products and services for compliance with securities laws, Fidelity policies, and other applicable rules and regulations. As a member of the Planni . . .

Fidelity Investments
Westlake, TX
Compliance

The Senior Compliance Advisor in FBS Compliance’s Brokerage Advisory Compliance group (BRAC) is responsible for providing compliance support to key strategic business groups by coordinating the review of communication and marketing materials about new products and services for compliance with securities laws, Fidelity policies, and other applicable rules and regulations. As a member of the Planni . . .