Senior Compliance Advisor

skillventory - A Leading Talent Research Firm

Senior Compliance Advisor providing regulatory support to equity and options trading desks. Will develop compliance policies, procedures, and training as part of Fidelity Capital Markets compliance.

Posted 4/24/2026full-timeBoston • Massachusetts, New York • 🇺🇸 United StatesSenior💰 $85,000 - $171,000 per yearWebsite

About the role

Key responsibilities & impact

Provide technical and interpretative guidance to FCM personnel
Provide advisory support to FCM Equity and Options trading desks and supporting operations
Develop and maintain written supervisory procedures, compliance policies and other documentation
Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas
Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance requirements, supervisory infrastructure and control framework
Design and deliver targeted training to business personnel
Assist regulatory inquiries/exam staff in responding to relevant regulatory matters
Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters

Requirements

What you’ll need

Subject matter expertise in one or more of the following areas: equity and options trade reporting platforms or operational trade support
An in-depth understanding of the securities markets and associated regulations
Strong written and oral communication skills
Ability to proactively identify core regulatory and compliance issues in a fluid trading environment
Effective relationship building skills to interact with colleagues and business partners
Accountability and ownership of issues and initiatives with an ability to independently exercise good judgment and see projects through to completion
Intellectual curiosity and sharp investigative skills, as well as strong analytical and problem-solving skills
College degree required, business major preferred. MBA or law degree a plus
Prior trade reporting compliance or product experience (i.e., CAT, CAT CAIS, LOPR, ACT, 605/606) is required

Benefits

Comp & perks

comprehensive health care coverage and emotional well-being support
market-leading retirement
generous paid time off and parental leave
charitable giving employee match program
educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

equity trade reportingoptions trade reportingcompliance policiessupervisory proceduresregulatory requirementstrade reporting complianceCATCAT CAISLOPRACT

Soft Skills

written communicationoral communicationrelationship buildingaccountabilityindependent judgmentintellectual curiosityanalytical skillsproblem-solving skills

Certifications

MBAlaw degree