Manager, Compliance

Defined Contribution Compliance Professional

Are you looking for an exciting and challenging client facing role where you get to engage and establish a relationship with Plan Sponsors day in and day out? Do you like to learn new things and think creatively? Fidelity's Testing and Reporting Services (TRS) team is seeking an experienced defined contribution compliance professional. This position acts as the primary contact for all Nondiscrimination Testing (NDT) and Form 5500 related services, encompassing client engagement, education, and consultation for NDT, Form 5500, PYES, and other special testing services.

The Expertise and Skills You Bring

• Bachelor's Degree or equivalent is required preferably in Math, Finance, Accounting, Business or other related field
• Defined Contribution client service experience required including consultation, ability to handle intensified issues, provide sales support and assist in implementing services
• ASPPA credentials (a plus)
• Excellent oral and written communication skills explaining sophisticated regulatory topics with any audience, tailoring delivery to the audience
• Leading the client experience and collaborating to gain consensus
• Strong ability to balance and prioritize client work, internal project work, and other responsibilities
• Strong organizational skills and ability to supervise at-risk client relationships
• Research topics independently and deliver solutions on complex regulatory issues
• Contribute to thought leadership while leading and driving initiatives across the department and organization
• Work with multiple levels of Fidelity and possess good presentation skills
• Assist with plan design discussions, implementation review and explore process improvements
• Educating clients regarding their plan's test results
• Set proper expectations for new clients, plan sponsor contacts, and internal business partners
• Lead the testing service team to find solutions when complex issues or errors arise
• Build the confidence of clients in Fidelity's services by offering solutions to test failures

The Team

TRS handles Plan Year End Summary Reporting, Annual Compliance Testing, Form 5500 completion, and Audit Support for the plan's year-end audit. We (the Compliance Consultants) initiate and maintain the relationship between the Plan Sponsor and TRS. TRS collaborates with various groups within Fidelity, including Managing Directors, Client Service Managers, Client Service Administrators, Implementation, Money Out, Transaction Processing, and Fidelity's Workplace Consulting, to ensure smooth year-end testing and processing.

Compliance

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.