Compliance

• support and enhance established compliance programs
• audit and monitor processes
• maintain precise records
• manage the full lifecycle of regulatory licensing filings
• conduct in-depth fact-finding and legal research
• provide timely, accurate responses that support informed decision-making

Senior Analyst, Business Compliance

• Work within a dedicated team to execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.).
• Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor).
• Summarize regulatory updates into concise, actionable insights for stakeholders.
• Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency.
• Support workflow execution, tracking, and status visibility across regulatory change activities.
• Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments.
• Support reporting and metrics to improve enterprise visibility into regulatory change.
• Identify trends and themes in regulatory developments and escalate as appropriate.

Compliance Advisor – Regulatory Change Management

• Manage market conduct exams and regulatory inquiries
• Interact with state regulators and drive successful implementation of corrective action plans
• Provide subject matter expertise on state regulatory environment to business areas and compliance teams
• Coordinate market conduct exams across business areas and with Legal
• Serve as a point of contact for state regulators and third-party auditors
• Ensure accurate, timely collection and delivery of exam materials
• Oversee responses to exam findings and corrective action plans
• Maintain strong documentation of all exam-related work

Manager, Corporate Compliance – Market Conduct Exams

• Act as compliance liaison for assigned areas and assist with creating a culture of compliance through training, engagement and providing consistent feedback on compliance standards.
• Responsible for the identification, analysis, communication and resolution of advertising deficiencies, lead generation practices, agent conduct, and other compliance issues for assigned areas.
• Review life insurance and annuity marketing material for compliance with applicable regulations.
• Assist in the creation, implementation, and maintenance of compliance policies, procedures and educational material.
• Work with internal and external partners on vetting and implementing compliance and business initiatives.
• Participate in compliance projects, such as onboarding new technology, and serve as backup to other functions as needed.

Senior Compliance Analyst

• Provide compliance leadership and counsel on regulatory and compliance requirements related to Fidelity Brokerage Services
• Serve as the central cross-business unit compliance contact for design, governance and oversight for personal card services products
• Oversee the design and development of compliance solutions and controls to mitigate risk to the broker-dealer
• Consult and advise on payment/debit card programs, cash management features, broker-dealer products and services offerings

VP, Compliance – Card Services, Cash Management

• Perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products on behalf of the CCOs, other governing bodies, and investors
• Assess compliance oversight programs for improvement opportunities and regulatory changes
• Foster strong partnerships with key business partners to support expansion of solutions-based products and fund offerings
• Interact frequently with Fidelity control partners, including Legal, Treasurer’s Office, Risk, and Operations

Senior Manager, Asset Management Compliance – Alternatives Manager Oversight

• Manage Regulatory Compliance function
• Ensure compliance with, and manage company processes related to, state money transmitter licensing requirements and all Nationwide Multistate Licensing System (NMLS)-related activities
• Maintain extra-provincial registrations for Moneycorp US Inc. in Canada
• Conduct horizon scanning, liaise with regulators to ensure timely notice of any regulatory changes, and communicate all such changes promptly to the Chief Compliance Officer (CCO)
• Prevent any disruption in licensing status by ensuring the company receives timely, accurate and complete documentation/information concerning licensing requirements
• Strategize, plan, and prioritize licensing strategy and related risks
• Timely file all required reports, renewal documents, and other information related to applicable licensing requirements
• Identify and internally report licensing-related risk and compliance issues and participate in developing mitigation plans
• Create accurate and timely reporting and analysis of regulatory and licensing activities
• Monitor and resolve NMLS task list for all license item notifications
• Monitor all regulatory filings managed by outside vendors (e.g. Secretary of State filings submitted by the company’s registered agent) to ensure timely and complete submissions
• Monitor surety bond expiration dates and ensure renewals are processed in a timely manner
• Provide management and executive level overview on the state of licensing
• Hire and manage a Regulatory and Licensing Associate to serve as deputy
• Assist as needed in other areas of Compliance
• Manage external and internal audits
• Act as principal coordinator, in collaboration with Finance, Legal, and Compliance departments, for all federal/state examinations, internal and external audits, annual independent AML compliance reviews (US), and biennial AML effectiveness reviews (Canada). This includes:
• Organizing and coordinating initial document production
• Preparing and maintaining examination trackers, issues logs, etc.
• Acting as principal point of contact during the course of all examinations/audits
• Supporting the Chief Compliance Officer, as needed, in preparing responses to the examiners
• Managing the post-examination issues log and ensuring all action items are completed in a timely manner

Regulatory and Licensing Manager

• Monitor all project activities to ensure compliance with ARC funding requirements, federal guidelines, and contractual obligations
• Maintain organized, audit-ready documentation including deliverables, financial records, and supporting materials
• Support preparation and submission of required progress reports, compliance documentation, and final project reports
• Prepare project records for audit reviews and support responses to compliance inquiries from funders or auditors
• Ensure project processes align with federal, state, and institutional compliance requirements; recommend improvements where needed
• Work with project team members to ensure compliance requirements are understood, implemented, and documented across all workstreams
• Identify compliance risks and support development of mitigation strategies to reduce exposure and ensure project integrity

Grant Compliance Specialist

• assess the impacts of new products, investment capabilities, and regulatory changes to the AMC operating model.
• build, lead, and support implementation plans that ensure readiness across all functional areas within AMC while representing AMC with product and regulatory facing business partners across Fidelity.
• design, build, and maintain robust product and regulatory intake, implementation, and metrics reporting tools to drive and support collaboration, readiness, and transparency.
• lead or support a variety of initiatives with a focus on emerging lines of business, such as digital assets and alternative products.
• build and maintain strong working relationships with Fidelity senior management and initiative stakeholders, providing timely awareness of key risks, issues, and results across AMC and with key Asset Management leaders and business partners.

Senior Advisor, Asset Management Compliance

• Responsible for ensuring that FDA-regulated computerized systems are validated, controlled, and maintained in compliance with applicable regulatory requirements.
• Support the full computer system validation (CSV) lifecycle and ensure IT systems remain in a state of control, audit readiness, and data integrity.
• Partner closely with IT, Quality Assurance, Regulatory Affairs, and system owners to maintain compliance across enterprise platforms.
• Lead and document validation lifecycle deliverables.
• Develop, execute, and maintain automated regression test suites.

Senior Specialist, IT Compliance – Validation

• Responsible for ensuring that FDA-regulated computerized systems are validated, controlled, and maintained in compliance with regulatory requirements.
• Supports the full computer system validation (CSV) lifecycle and ensures IT systems remain in a state of control, audit readiness, and data integrity.
• Partners closely with IT, Quality Assurance, Regulatory Affairs, and system owners to maintain compliance across enterprise platforms.
• Execute Computer System Validation (CSV) Activities and lead and document validation lifecycle deliverables.
• Develop, execute, and maintain automated regression test suites to ensure system functionality remains stable.
• Document automated test evidence and ensure results meet inspection-ready standards.
• Prepare validation documentation and serve as IT compliance support during internal audits and FDA inspections.
• Conduct Risk-Based Validation Assessments and apply GAMP 5 and risk-based methodologies.
• Support compliance metrics tracking and management reporting activities.

• Plan and lead labeling updates driven by safety changes, regulatory commitments, and periodic reviews
• Author and revise labeling documents including the Company Core Data Sheets (CCDSs), US Prescribing Information (USPI), EU Summary of Product Characteristics (SmPC), and Rest of World (ROW) labels for lifecycle products
• Support labeling governance activities by collaborating with the team lead and GLL/RLL to prepare materials, attend the governance meeting and record accurate minutes in a timely manner to upload in the electronic document management system, and ensure required approvals are obtained
• Ensure labeling content complies with applicable regulatory requirements (e.g., FDA, EMA, ICH) and internal standards
• Collaborate with cross-functional teams (e.g., Safety, Medical, Legal, Regulatory Strategy) to gather input and align on labeling changes, as needed
• Support responses to health authority queries related to labeling content
• Partner with document specialists and publishing teams to ensure submission-ready formatting and timely delivery
• Attend labeling governance meetings and draft accurate minutes in a timely manner
• Upload minutes to the electronic document management system

Regulatory Labeling Manager – NA, LATAM

• Engage with the worldwide brokerage community, identifying POC, gather and verify operational information.
• Document broker feed requirements and organize findings for internal and external client use.
• Confirm and document broker-specific feed requirements, including data fields, formats, and delivery methods.
• Research and analyze broker feed specifications to ensure compatibility with our system.
• Maintain a comprehensive database of broker feed requirements.
• Organize and analyze collected data to identify trends, patterns, and areas for improvement.
• Prepare clear and concise reports summarizing findings for internal and client use.
• Create and maintain detailed documentation of broker outreach processes, data gathering methods, and findings.
• Collaborate with internal teams (e.g., data feeds, compliance) to ensure smooth integration of broker information and feeds.
• Assist with client onboarding and support processes related to broker feeds.

Paid Intern – Regulatory Technology

• Support the Compliance Monitoring team by carrying out assigned monitoring and audit activities
• Evaluate controls, perform testing, document results, and prepare corrective action plans
• Communicate results and recommendations to business stakeholders

Senior Analyst, Compliance Monitoring

• Lead engagement with Compliance and Legal to interpret state, PBM, Medicaid, and Licensure reporting requirements
• Own accountability for determining whether reporting requests are new, changed, or unchanged year over year
• Ensure formal acknowledgment and documentation of scope decisions
• Govern Salesforce intake for PBM, Medicaid, and Licensure reports
• Serve as the primary business partner to Compliance and Regulatory teams
• Provide enterprise oversight and governance of client lists used for PBM, Medicaid, and Licensure regulatory reporting
• Manage report templates, instructions, and year-over-year version control
• Submit finalized PBM, Medicaid, and Licensure regulatory and state reports
• Identify, assess, and escalate year-over-year inconsistencies that may pose compliance or audit risk
• Establish and maintain centralized SharePoint repositories for state and regulatory reporting artifacts

Senior Manager – Regulatory Reporting Solutions

• Lead operational execution of the organization's Governance, Risk, and Compliance (GRC) programs
• Oversee the lifecycle management of enterprise security policies, standards, and procedures
• Manage GRC and Risk analysts, and management of program tooling and governance repositories
• Drive continuous improvement initiatives across GRC operations to increase automation, reporting capabilities, and operational efficiency
• Facilitate risk review discussions and support the preparation of risk reporting for leadership, risk, and governance committees

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