FMR

Senior Compliance Advisor

United States · Work style not stated · Full time

Apply on the employer’s site ↗See how well you match this job

You apply directly with the employer. ROLIVA does not submit applications from this page and is not the employer.

About the role

Description from the employer’s posting. Check the employer’s page for the current version.

EmployerFMR
LocationUnited States
Work styleWork style not stated
Employment typeFull time
Employer posted1 Oct 2026

Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role

As a Senior Compliance Advisor for the Product Communications and Marketing Compliance team (PCMC), you will be part of a highly collaborative team that primarily supports the Marketing, Product and Distribution, Custody and Clearing and Platform teams within FI, and may partner with other business units such as Asset Management Compliance, Enterprise Compliance, Wealth & Brokerage and others on a range of cross-firm initiatives, campaigns and projects . You will also be responsible for monitoring the regulatory environment, advising and providing guidance to internal partners, and developing disclosures, policies, and procedures, as needed to help ensure compliance with applicable rules and regulations. The Senior Compliance Advisors take on growing levels of responsibility as they develop their familiarity with the range of supported business lines, advancing to full engagement in marketing campaigns, social media engagement and product launches while collaborating with Compliance professionals, Legal, Product and Enterprise Compliance.

Show full description

The Expertise and Skills You Bring

Bachelor’s degree.
Minimum 5+ years of proven experience in financial services.
Knowledge of FINRA 2210, SEC and related IA Marketing rules, NFA/CFTC and MSRB rules & regulation as needed.
An understanding of Fidelity’s intermediary and/or institutional distribution channels and/or products.
Experience reviewing marketing and other types of communications for broker/dealer firms and/or investment adviser firms preferred.
Series 7 (preferred but not required).
Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects, and prioritizing as appropriate.
Exceptional analytical skills and the curiosity and ability to learn new and complex concepts.
Experience with Excel and PowerPoint.
Superior written and oral communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.

The Team

Senior Compliance Advisors in the PCMC team, within FI Compliance, assist the FI business and Asset Management teams in maintaining compliance with regulatory standards pertaining to communications with the public, sales training, and related subjects.

Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.

Certifications:

Category:

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.

See how well you match this job Apply on the employer’s site ↗

Check your resume against this job Free, no sign-up. Nothing you paste is stored.

Staying safe while you apply

Never pay to apply, interview or accept an offer. ROLIVA never asks you for payment to apply to a job.
Apply only through the official “Apply on the employer’s site” button, on the employer’s own site, and check that a recruiter’s email uses that employer’s own domain rather than a free email address.
Be cautious of an offer made with no real interview, or pressure to decide quickly or share financial details early.

Does something look wrong with this listing? Use “Report broken link” in the role details, or read ROLIVA’s full job-safety guidance ↗.

Preparing for this role with ROLIVA

Check the fit.
Compare the requirements with the experience you have confirmed, including gaps.
Prepare honestly.
Build interview stories and application drafts from your own evidence.
Keep track.
Save the role and record your own application status and follow-ups.

Create a free workspace or log in.