Sr. Compliance Advisor - State Licensing

Job Description : Role

Role

Fidelity Internal Information Senior Compliance Advisor, FDAS Compliance The Role As a member of the Fidelity Digital Asset Services, LLC ( u201CFDAS u201D) Compliance team, you will serve as an informed and trusted business partner, who promotes a culture of ethical conduct and commitment to compliance, regulatory and legal obligations.

In this role on the Regulatory Compliance Team, you will support regulatory oversight of FDAS, collaborating closely with many teams within FDAS and across the Fidelity organization, such as Personal Investing, Fidelity Institutional, and Workplace Investing.

Expertise and Skills you Bring

Managing the money transmission licensing team , which includes oversight and maintenance of licenses

Supervision of all tasks associated with licensing in compliance with statutory, regulatory, and NMLS requirements and obligations.

Assisting the growing FDAS business in identifying and managing regulatory risks

Supporting new and existing FDAS products, services, and geographic expansion of the business

Tracking the evolving regulatory landscape within the digital assets industry; reviewing and analyzing regulatory requirements and potential impact to the business

Building connections between FDAS and Enterprise Compliance policies and functions.

Supporting Regulatory Team efforts to build relationships with regulators, respond to regulatory exams, and maintain licenses.

The Expertise and Skills You Bring

Experience supporting a money transmission regulatory program, including filings, registrations and licensing, using the NMLS system, regulatory exams and interactions with regulators

5+ years of related experience in Compliance, Risk or Legal

4-year college degree required, master s degree, MBA or JD is a plus

Strong attention to detail and experience managing a team

Strong analytical, organizational, and problem-solving skills

Strong relationship and communication skills; strong ability to work independently and as part of a closeknit team

Ability to work effectively in a fast-moving, challenging regulatory environment

Ability to influence key decision makers through a combination of knowledge, reasoning and relationships The Team This team reports to the Chief Compliance Officer for Fidelity Digital Assets, a full-service, enterprise grade platform for securing, trading, and supporting investments in digital assets.

Team

FDA is part of the Enterprise Services portfolio of agile, standalone organizations, which drive innovation, with the purpose of collaborating with Fidelity s businesses to develop new sources of revenue, explore emerging technologies, enhance operational capabilities, and improve the customer experience.

The Enterprise Services portfolio also includes Fidelity Labs, the Fidelity Center for Applied Technology, F-Prime Capital, and Impresa Management LLC.

At Fidelity, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we re calling u201CDynamic Working u201D.

Most associates will have a hybrid schedule with a requirement to work onsite at a Fidelity work location for at least one week, all business days, every four weeks.

These requirements are subject to change. Fidelity Internal Information Reminder : Per the Dynamic Working Policy, approved exceptions will be reviewed annually, or when the associate accepts a new role, whichever comes first.

Salary Grade : 6 Organization : Enterprise Services Compliance Category : Compliance

Certifications : Company Overview

Company Overview

Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future.

We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients money.

Join Us

At Fidelity, you ll find endless opportunities to build a meaningful career that positively impacts peoples lives, including yours.

You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a

Glassdoor Employees Choice Award

we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don t need a finance background to succeed at Fidelity u2014we offer a range of opportunities for learning so you can build the career you ve always imagined.

Fidelity's working model

blends the best of working offsite with maximizing time together in person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business days of one assigned week per four-week period (beginning in September 2024, the requirement will be two full assigned weeks).

At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry .

Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation,

detailed in this document

and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent).

These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances : Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

We invite you to Find Your Fidelity at

fidelitycareers.com

Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process.

To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to

[email protected]