Job Description:
The Role
The Senior Compliance Advisor role is part of Testing and Reporting Services (TRS), within Client and Participant Services (CAPS), within Workplace Investing (WI). CAPS provides increased controls over WI’s most complex and highest exposure processes. The Senior Compliance Advisor will work in the TRS COE team, and alongside business and quality control partners. The SCA will partner with the team to improve processes, training, quality, and an outstanding client experience.
The Expertise and Skills You Bring
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8+ years 401(k) Nondiscrimination testing (NDT), Form 5500, and annual 401(k) reporting expertise
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Bachelor’s Degree or equivalent experience
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Experience working in an Agile environment as a project lead
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Experience leading operations and process design across multiple sites
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Risk mitigation and analytical skills
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Current ASPPA designations: QKA, QKC, QPA, and CPC desired
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Learning and Development program design and facilitation expertise
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Data manipulation and analytical skills applied as constructing data queries and building reports (ex. VBA, Excel, PowerBI, SQL, Tableau)
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Expert level knowledge of NDT, Form 5500, annual audit, and 401(k) plan design
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Ability to collaborate with the operations teams to create and detail associate procedures, with a focus on quality and risk mitigation
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Possess confidence to work across all levels of the organization
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Lead multiple projects and coordinate project contributors
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Ability to build new hire and ongoing training programs specific to annual 401(k) compliance
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Ability to summarize and clearly articulate sophisticated issues, synthesize key points and communicate findings
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Highly organized, detail oriented with outstanding follow-through skills
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Your ability to demonstrate strong critical thinking skills in analyzing issues and executing plans to resolve them
The Team
The COE team builds and maintains tools for balancing key data elements to their original source, details procedures, and facilitates cross-training to others as needed. We coordinate and own monthly system installs, including communication and documentation of installed items, setting up plans for functional and regression testing, and communicate the results of system installs to our partners. We also coordinate monthly reconciliation, set-up, launching and monitoring of more than 125,000 reporting campaigns. We focus on business partnership, credibility, and positive relationships with business partners in technology and client facing teams.
Join this dynamic team in combining DC operations and client service experience with technology development and agile methods!
Partners include TRS associates and leadership, Corporate Risk, WI Technology, clients (Plan Sponsors) and Managing Directors (Fidelity Relationship Managers).
Certifications:
Category:Compliance
Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite every other week (all business days, M-F) in a Fidelity office.
Top Skills
What We Do
At Fidelity, our goal is to make financial expertise broadly accessible and effective in helping people live the lives they want. We do this by focusing on a diverse set of customers: - from 23 million people investing their life savings, to 20,000 businesses managing their employee benefits to 10,000 advisors needing innovative technology to invest their clients’ money. We offer investment management, retirement planning, portfolio guidance, brokerage, and many other financial products.
Privately held for nearly 70 years, we’ve always believed by providing investors with access to the information and expertise, we can help them achieve better results. That’s been our approach- innovative yet personal, compassionate yet responsible, grounded by a tireless work ethic—it is the heart of the Fidelity way.
