Job Description:

Position Description:

Responds to institutional brokerage business inquiries and data requests, interprets data analytics results, and collaborates with compliance teams to present findings to management. Applies data mining, analysis, and visualization development skills to support data analytics projects for regulatory response, trade surveillance, internal assessments, registration and licensing, and compliance advisory teams. Improves regulatory data quality, proactively detects compliance threats, and improves intra-departmental efficiencies, using advanced analytics techniques, including data mining, modeling, profiling, and statistical analysis. 

Primary Responsibilities:

• Sources, prepares, analyzes, and transforms data into business insights.
• Identifies opportunities for operational efficiencies and manual process automation, and develops the appropriate programs.
• Recognizes issues, assesses regulatory risks, and identifies items requiring escalation.
• Presents complex issues to partners and senior leadership.
• Interprets complex regulatory requirements and assesses controls, policies, and procedures to make recommendations for improvements.
• Monitors latest regulatory changes and compliance technologies.
• Manages multiple projects or activities to deliver results in an accurate and timely manner.

Education and Experience:

Bachelor’s degree in Computer Science, Engineering, Information Technology, Information Systems, or a closely related field (or foreign education equivalent) and five (5) years of experience as a Senior Manager, Compliance Advisor (or closely related occupation) performing data analysis to derive insights from large datasets in a financial services environment, using Alteryx, Tableau, SQL Developer, Snowflake, and Python. 

Or, alternatively, Master’s degree in Computer Science, Engineering, Information Technology, Information Systems, or a closely related field (or foreign education equivalent)  and three (3) years of experience as a Senior Manager, Compliance Advisor (or closely related occupation) performing data analysis to derive insights from large datasets in a financial services environment, using Alteryx, Tableau, SQL Developer, Snowflake, and Python.

Skills and Knowledge:

Candidate must also possess:

• Demonstrated Expertise (“DE”) extracting, cleansing, transforming, and analyzing large multi-dimension structured and unstructured data sets of brokerage and people data from disparate sources, using Alteryx, Tableau, SQL Developer, Snowflake, and Python; and conducting exploratory data analyses, performing data quality reconciliations, identifying trends, outliers, anomalies, and patterns, and analyzing query results, using Alteryx, Tableau, SQL Developer, Snowflake, and Python.  
• DE synthesizing data to develop compliance business insights and prescriptive action to better inform Senior Executive decision making by packaging and presenting findings of complex data analyses, using PowerPoint presentations and Tableau data visualizations. 
• DE developing internal reporting, PowerPoint presentations, interactive Tableau dashboards, data visualizations, and email alert and notification scheduling, using Alteryx. 
• DE assessing end-to-end data processes and analyzing opportunities for process enhancements and modernization, including automating manual processes for institutional compliance teams, using Alteryx, Tableau, Snowflake, Python, and SQL.

Salary:  $172,827.00 - $182,827.00/year.

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Certifications:

Category:

Compliance

Most roles at Fidelity are Hybrid, requiring associates to work onsite every other week (all business days, M-F) in a Fidelity office. This does not apply to Remote or fully Onsite roles. Some roles may have unique onsite requirements. Please consult with your recruiter for the specific expectations for this position.

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.