Compliance Advisor: Ethics Office, Trade Monitoring
The Ethics Office works closely with business, compliance, and legal partners to ensure ongoing regulatory compliance and protection of Fidelity’s brand and reputation. We are passionate about the associate experience and committed to providing sound and consistent guidance that effectively mitigates conflicts of interest.
A critical component of the Ethics Office is the Personal Trade Monitoring Team. As a key member of this team, you will assist with the development and application of policies and procedures related to employee personal trading in digital assets, while also supporting the team’s monitoring of employees’ securities trading for compliance with Fidelity’s Code of Ethics for Personal Investing. You will work closely with multiple business partners and apply sound judgement while answering questions related to Fidelity’s rules about owning and trading securities or digital assets for personal benefit.
The Expertise and Skills You Have
BA/BS degree required.Minimum 5 years of financial services experience (compliance, trade operations, or investment support experience preferred).Solid understanding and interest in the digital asset sector; including cryptocurrency trading, regulatory framework, and new product offerings.Ability to understand complex issues, particularly with respect to digital assets, and provide clear and concise explanations in written and verbal communications.Strong interpersonal skills to effectively collaborate with various departments to cultivate a culture of compliance.Ability to establish priorities, work independently, and follow through on assignments with minimal supervision within a fast-paced and challenging environment.The Value You Deliver
Assist in the development of policies, procedures, and eventual monitoring of employee personal trading in digital assets.Execute day-to-day operations related to the monitoring and oversight of employee trading for compliance with Fidelity’s Code of Ethics for Personal Investing.Support the development, implementation, and maintenance of comprehensive compliance policies and procedures that align with both regulatory obligations and organizational objectives.Educate and assist employees with their understanding of Fidelity’s personal trading policies, particularly new policies related to digital assets.Apply sound judgment to recognize issues, assess risks, and identify items requiring escalation.Improve the associate experience while maintaining a strong culture of compliance.Certifications:Company Overview
Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients’ money.
Join Us
At Fidelity, you’ll find endless opportunities to build a meaningful career that positively impacts peoples’ lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees’ Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you’ve always imagined.
Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Having the majority of our associates work onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most roles listed as Hybrid will require associates to work onsite all business days of every other week in a Fidelity office. This does not apply to roles listed as Remote or Onsite.
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
We invite you to Find Your Fidelity at fidelitycareers.com.
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
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, contact the HR Accommodation Team by sending an email to accommodations@fmr.com.