Associate Compliance Analyst

Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Associate Compliance Analyst to work in Westlake, TX!


Associate Compliance Analyst - Ethics Office


The Role

The Associate Compliance Analyst is part of a team responsible for providing service support to employees and performing administration of employee accounts, transactions, statements and required disclosures to ensure they meet the requirements of Fidelity's Code of Ethics and Compliance policies.


The Team

Fidelity Compliance provides compliance policy oversight and advisory services that help Fidelity ensure compliance with Federal and State regulations, manage risk, protect our associates and our customers, and enhance business performance.


The Expertise You Have

• Bachelor's degree required
• Previous phone or customer service and operations experience required
• 1-2 years of relevant experience in audit, regulatory, risk or compliance environment preferred
• Strong problem solving and data analytical skills
• Positive attitude and goal-driven
• Strong presentation, written, and interpersonal communication skills

The Skills You Bring

• You're a problem-solver and inspire creative solutions
• You have an unwavering commitment to accuracy and quality
• You possess excellent organizational, operations, and process management skills
• You can handle multiple tasks and priorities simultaneously
• You are able to overcome unexpected obstacles with little or no supervision
• You possess strong research and analytical skills
• You thoughtfully and efficiently drive tasks to completion
• You have an excellent attention to detail and ability to communicate defects clearly with relevant information
• You apply sound judgment to spot issues, assess risks, and identify items requiring escalation
• You are proficient in common MS Office applications and are able to quickly learn and gain proficiency with internal websites, databases, and applications

The Value You Deliver

• The filing of initial registration applications (Forms U4), amended applications (Form U4 amendments), and requests to terminate registrations (Forms U5) with FINRA
• Administering employees' personal trading account disclosures, statements, and transactions in support of trade surveillance
• Resolution of Error Queue items to ensure that statements received via physical mail are in good order
• Providing outstanding customer service to all levels of Fidelity associates regarding their registration and licensing needs and statement reporting requirements
• Performing various administrative duties, including mail handling and filing
• Analyzing Compliance requirements and rules to determine if potential business impact exists and escalating as appropriate
• Working with other team members to identify, resolve and address issues
• Maintaining strong working relationships with peers and managers within and across compliance teams (internally focused)

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.


Company Overview

At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want! We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences. For information about working at Fidelity, visit FidelityCareers.com. Fidelity Investments is an equal opportunity employer. Fidelity will reasonably accommodate applicants with disabilities who need adjustments to complete the application or interview process.


Fidelity TalentSource, is the in-house temporary staffing provider for Fidelity Investments. Unlike traditional staffing agencies, we are an internal business unit within Fidelity's Talent Acquisition team, dedicated to recruiting talent from various backgrounds for roles in Fidelity's regional and investor center locations. Our mission is to help you experience Fidelity's diverse and inclusive workplace while expanding your skill set and professional network, with the ultimate goal of conversion to full-time employment as part of Fidelity's long-term strategy.


For information about working at Fidelity TalentSource, visit FTSJobs.com.


Fidelity TalentSource will reasonably accommodate applicants with disabilities who need adjustments in order to complete the application or interview process. Please email us at View email address on click.appcast.io if you would like to request an accommodation.