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Added 2 days ago
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Client Service Manager II / III - Clearing Client Management - Wealth Client Experience
National Financial Services LLC
Smithfield, RI · Jersey City, NJ · Westlake, TX
- $79,000 to $153,000 USD / year
Added 2 days ago
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Director, Product Management
National Financial Services LLC
Boston, MA
- $110,000 to $222,000 USD / year
Added 2 days ago
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National Financial Services LLC
Westlake, TX
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Representative, Client Experience
National Financial Services LLC
Westlake, TX · Smithfield, RI
Added 3 days ago
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National Financial Services LLC
Jersey City, NJ
- $95,000 to $186,000 USD / year
Added 3 days ago
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Treasury Brokerage Operations - Analyst
National Financial Services LLC
Jersey City, NJ
- $55,000 to $105,000 USD / year
Added 5 days ago
Senior Manager, Data Analytics and Insights
National Financial Services LLC
Westlake, TX
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Director, Digital Transformation - Wealth Client Experience
National Financial Services LLC
Boston, MA
- $110,000 to $222,000 USD / year
Added 6 days ago
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National Financial Services LLC
Smithfield, RI
Added 10 days ago
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National Financial Services LLC
Westlake, TX
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National Financial Services LLC
Westlake, TX
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National Financial Services LLC
Westlake, TX
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Westlake, TX
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National Financial Services LLC
Westlake, TX
Added 11 days ago
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National Financial Services LLC
Jersey City, NJ
- $48,000 to $91,000 USD / year
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Senior Manager, Advanced Data Analytics and Insights
National Financial Services LLC
Boston, MA
- $107,000 to $216,000 USD / year
Added 11 days ago
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Manager, Advanced Data Analytics and Insights - Fidelity Institutional
National Financial Services LLC
United States
- $97,000 to $185,000 USD / year
Added 11 days ago
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Senior Representative, Alternative Investments
National Financial Services LLC
Jersey City, NJ
- $44,000 to $80,000 USD / year
Added 12 days ago
Associate Financial Analyst
National Financial Services LLC
Westlake, TX
Added 12 days ago
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Manager, Brokerage Operations
National Financial Services LLC
Jersey City, NJ
- $66,000 to $125,000 USD / year
Added 17 days ago
Associate Analyst, Brokerage Treasury Operations
National Financial Services LLC
Westlake, TX
Added 20 days ago
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Manager, Product – Systematic Trading
National Financial Services LLC
Boston, MA · NY
- $80,000 to $120,000 USD / year
Added 20 days ago
Senior Financial Analyst, Regulatory Reporting
National Financial Services LLC
Westlake, TX
Added 24 days ago
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National Financial Services LLC
Westlake, TX
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Vice President, Institutional Support
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Smithfield, RI

Closed listing

National Financial Services LLC

Compliance Advisor

Smithfield, RI, United States

This opening has closed.

The original listing is kept below for reference.

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About employer

Job details

Closing date: Oct 29, 2026
Education: Bachelor’s degree
Posting language: English
Posted: Oct 26, 2026

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Original job description

Archived listing. The details below describe a past opening.

Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role As a Compliance Advisor on the Product Communications and Marketing Compliance (PCMC) team, you will be part of a highly collaborative organization that provides compliance support to help mitigate compliance risk associated with advertising and marketing communications in a highly regulated environment. You will primarily support and advise Fidelity Institutional Marketing and Product teams. You will also partner with other Fidelity business units on cross-functional initiatives, campaigns, and strategic projects.

In this role, you will monitor the evolving regulatory landscape, provide compliance guidance and risk-based advice to internal stakeholders, and help develop disclosures, policies, and procedures to help ensure adherence to applicable laws, rules, and regulations. As your expertise and knowledge of supported business lines grows, you will assume increasing responsibility and become a trusted advisor on marketing campaigns, social media initiatives, product launches, and other key business activities. Success in this role requires strong collaboration across Compliance, Legal, Product, Marketing and Enterprise Compliance teams to support the Fidelity Institutional business.

The Expertise and Skills You Bring

Bachelor’s degree required.
Minimum 5 plus years of proven experience in financial services.
Knowledge of FINRA 2210, SEC, and related IA Marketing rules, NFA/CFTC, and MSRB rules and regulations 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.
Effective communication skills and an ability to engage, establish relationships and influence partners across the organization at all levels.
Ability to develop reports or summaries for management related to compliance matters and meaningful metrics, demonstrating proficiency with Adobe Acrobat, Microsoft PowerPoint and Microsoft Excel.

The Team Compliance Advisors in the Fidelity Institutional (FI) PCMC team, within FI Compliance, assist the FI business, Enterprise Compliance and Asset Management 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:

CompliancePlease 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.

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