Compliance Advisor – Artificial Intelligence Compliance
Job Description:
Compliance Advisor – Digital Compliance Data and Artificial Intelligence Compliance
Digital Compliance is seeking a passionate, driven, and experienced professional to join our Data and Artificial Intelligence (AI) Compliance Team. The Compliance Advisor will report to the Data and AI Compliance Practice Owner and is expected to become a subject matter expert with AI and data focused regulations across all jurisdictions. The Compliance Advisor works independently, supporting or leading moderate to complex firm-wide projects and programs focused on compliance with AI and data regulations. This work is varied and often time sensitive; it can range, for example, from project delivery, policy drafting, regulatory rules research and interpretation, controls governance, and compliance guidance.
The Expertise You Have
- 4+ years project or program management experience
- Compliance, risk management, controls, audit, policy and/or data governance experience preferable
- Technology expertise, preferably with AI related technologies
- Support large and complex bodies of work with cross-functional teams
- Building a reputation as a point of contact and subject matter expert while managing and driving forward key initiatives and major programs
- Designing and assisting in the execution of appropriate controls and monitoring related to data and applications
- Ability to build relationships with internal stakeholders and partners
- Measuring and articulating work through appropriate metrics/KPIs/KRIs and presentations
- Familiarity with the U.S State and Federal regulatory landscape and industry Regulators such as FINRA and SEC
- Familiarity with financial products and services
The Skills You Bring
- Effectively and dynamically learn regulatory, business, and technology concepts as dictated by the work; proactively apply that knowledge accordingly while demonstrating an interest and curiosity about the subject matter
- Program and project management competencies that demonstrate robust problem solving, analytical skills, and creative thinking
- Comfortable with ambiguity and effectively navigating in a fluid environment (e.g., in situations where there is uncertainty and/or limited information)
- Demonstrate flexibility and adaptability; Ability to simultaneously prioritize and successfully complete multiple bodies of work and quickly respond to shifts in priorities
- Collaborates through a proactive/constructive dialogue with team members and partners.
- Unassailable integrity with strength of character to express opinions and respectfully challenge other points of view
- Exceptionally organized and results driven
- Persuasive communication (oral and written)
The Value You Bring
- Assume ownership for the end-to-end process and understand the prioritization of tasks and milestones on initiatives, programs, and projects to which you are assigned; Meets deadlines
- Articulate the value of the work you are delivering
- Provide support to legal, risk, compliance and technology partners
- Ability to collaborate with people & teams in a constructive and adaptive way to 'get the job done.'
The Team
This person is part of the Data and AI Compliance team responsible for leading and coordinating firm-wide compliance with AI and data regulations, including the Colorado and EU AI Acts. The team will:
- Lead and work on projects and programs to ensure compliance with regulations.
- Review prospective AI use and identify regulatory impact
- Work with business unit compliance and other contacts to ensure on-going regulatory compliance through controls and monitoring.
- Help improve awareness of AI and data regulatory obligations through education and socialization.
- Articulate value to senior management through engaging metrics and presentations
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please 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.
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.
Certifications:
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-we offer a range of opportunities for learning so you can build the career you've always imagined.
Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Having the majority of our associates work onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most roles listed as Hybrid will require associates to work onsite all business days of every other week in a Fidelity office. This does not apply to roles listed as Remote or Onsite.
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 accommodations@fmr.com.