Risk Analyst

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


The Role


The duties of the Risk Analyst are to support Enterprise Compliance Management's Anti Money Laundering programs and maintain full compliance with USA PATRIOT Act regulations as stipulated specifically within section 326 of the Customer Identification Program.


The purpose of your role is to support the companies Anti Money Laundering program and maintain compliance with USA PATRIOT Act regulations. A majority of our communications are with internal employees which includes all lines of business including retail, family office, Institutional Wealth Services, stock plan services, health savings as well as Correspondent firms directly.


The Expertise We're Looking For

• Bachelor's degree required
  
  
• Excellent interpersonal skills, both written and oral, as communicating with internal business units, customers, and correspondents will be required
  
  
• Ability to meet time-sensitive requests along with strong research and information gathering techniques
  
  
• Ability to balance multiple cases and prioritize accordingly.
  
  
• Ability to work as a phenomenal teammate as well as work independently.
  
  
• Ability to learn Fidelity systems including FBSI, FDOT, IRF, XTRAC

The Skills You Bring

• Highly motivated, flexible, quality focused, teammate.
  
  
• Interested in quickly mastering Fidelity systems including FBSI, CACTUS, IRF, XTRAC, FDOT
  
  
• Have the ability to balance multiple cases and prioritize accordingly.
  
  
• Broad knowledge of the financial services industry strongly preferred

The Value You Deliver

• Understanding the USA PATRIOT Act, Section 326 as well as any subsequent updates or guidance as put forth by the regulatory bodies or agencies including but not limited to the SEC, FINRA and FinCEN.
  
  
• Interact directly with appropriate business liaisons and advance issues as appropriate to management in a timely and concise manner.
  
  
• Review incoming Customer Identification Program ("CIP") incidents and perform research to ensure compliance and also minimize risk to the firm.
  
  
• Communicate compliance requirements to clients as necessary, restrict accounts as appropriate and bring up issues in a timely manner to senior team members or management.
  
  
• In addition to research, review and escalation responsibilities, adherence to a strict timeline and compliance schedule is paramount. This is all done in an effort to mitigate risk to the firm while also minimizing any negative impact to the client experience either real or perceived.
  
  
• Develop and participate in ongoing systems and process improvements. Participate in testing of any new system functionality and adapt to changes in policies or practices as required
  
  
• Serves as backup for other functional groups as needed.

Please see the below pay rate range for the work location of Rhode Island only : $28.00-$31.00 per hour.


Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.


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