The Expertise You Have

• Working knowledge of broker-dealer business including products, trading, and back-office operations.
• General knowledge of securities rules and regulations, including but not limited to, brokerage operations and/or capital markets compliance subject matter.
• Process/project management experience
• Experience with data visualization products like Tableau a plus
• Familiarity with Fidelity’s organization and operations preferred
   

The Skills You Bring

• Adaptable and Flexible.  Ability to independently prioritize multiple tasks and priorities simultaneously with a self-starter attitude
• Strong interpersonal, written, and verbal communication skills and the ability to present results in a clear and compelling manner
• Experience in a compliance focused environment and a desire to further develop skills
• Desire to learn and develop within the Compliance organization
• Ability to interpret and summarize complex rules and regulations
• Strong research and analytical skills
• A fresh perspective and an auditor’s curiosity
   

The Value You Deliver

• Developing and performing assessments designed to validate compliance with SEC, FINRA, SRO rules/regulations, and Firm requirements/expectations.
• Drafting work papers to evidence and communicate the scope of the review and to support the findings
• Identifying and participating in the design of ongoing surveillance scenarios / continuous monitoring.