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Senior Compliance Advisor
Fidelity Investments. Support the compliance program for managed record-keeper services provided to retirement plans .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in retirement plan compliance, project management, and regulatory risk management, with a strong focus on process improvement and stakeholder communication. Capable of translating complex regulatory requirements into actionable compliance strategies and maintaining audit readiness.
Highest-signal resume keywords
Retirement Plan ComplianceProject ManagementRegulatory Risk ManagementCompliance Policy MaintenanceStakeholder Communication
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Program SupportProcess ImprovementRegulatory Impact AnalysisCompliance DocumentationRisk ManagementProject CoordinationReporting and MeasurementAttention to DetailCritical ThinkingAnalytical Skills
Soft Skills
Interpersonal SkillsInfluencing SkillsVerbal CommunicationWritten CommunicationProblem-Solving
Tools & Technologies
Microsoft Office SuiteSharePoint
Industry Keywords
ERISADepartment of LaborInternal Revenue ServiceDefined ContributionDefined BenefitNon-Qualified PlansTax-Exempt PlansPooled Employer PlanDirected Record-Keeper ServicesCompliance Procedures
About the role
Key responsibilities & impact- Support the compliance program for managed record-keeper services provided to retirement plans
- Help ensure products and services adhere to applicable rules, regulations, and policies
- Handle projects that drive process improvements and pivotal initiatives across the compliance program
- Provide compliance guidance to product teams throughout the product and service lifecycle
- Opine on requirements and review and approve internal and external materials
- Support implementation, rollout, and post-launch governance
- Identify regulatory compliance risks and translate requirements and guidance into practical recommendations
- Support risk incidents through regulatory impact analysis, remediation actions, stakeholder updates, and recurring-theme or control-gap identification
- Review, update, and maintain compliance procedures and process documentation for consistency, transparency, and audit readiness
- Communicate project status, issues, recommendations, and deliverables to internal partners
- Coordinate written responses to regulator, court, and internal inquiries
- Provide decision support for resolving compliance issues arising in record-keeping Workplace Investing plans and support timely escalation
- Develop improved reporting and drive visibility and measurement of compliance program effectiveness
- Manage and deliver compliance projects, tracking milestones, dependencies, decisions, risks, and stakeholder commitments
- Support monitoring, review, and dissemination of new or modified laws, regulations, and applicable guidance
- Build trusted relationships with business and control partners
Requirements
What you’ll need- Bachelor’s degree or equivalent experience
- Experience in retirement plan operations, compliance, project management, risk management, or a related control function
- Experience supporting workplace retirement products or services, including defined contribution, defined benefit, non-qualified, tax-exempt, pooled employer plan, or directed record-keeper services
- Experience reviewing, updating, or maintaining compliance policies, procedures, process documentation, controls, job aids, or playbooks
- Program or project management experience, including coordinating work across organizational lines and driving open items to conclusion
- Solid understanding of retirement plan compliance requirements and regulatory rules and agencies including ERISA, Department of Labor, Internal Revenue Service, and related guidance is preferred
- Microsoft Office suite of applications, including SharePoint
- Strong attention to detail, critical thinking, analytical, interpersonal, influencing, verbal communication, and written communication skills
- Ability to identify gaps, inconsistencies, emerging risks, and problems; follow up on items requiring resolution; and escalate matters when appropriate
- Ability to manage shifting priorities, stakeholder expectations, risk matters, exception requests, procedure updates, and project commitments
- Ability to plan and implement work in a timely manner and drive projects to conclusion
- Fidelity will not provide immigration sponsorship for this position
- Candidates may be subject to restrictions related to certain criminal histories under applicable securities, investment, retirement, and self-regulatory organization laws and regulations
Benefits
Comp & perks- Fidelity’s onsite working model is transitioning toward full-time onsite work through a phased rollout; onsite expectations vary by region and role
- Opportunity to support innovative retirement, benefits, insurance, emergency savings, and financial wellness offerings
- Professional collaboration with Product, Legal, Risk, Operations, and Compliance partners