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Compliance Representative in Albuquerque, NM at Veritude

Date Posted: 9/22/2018

Job Snapshot

Job Description

Veritude is hiring for a Compliance Representative who will play a critical role in reviewing electronic communications for compliance with Fidelity policies.

Purpose of the Role:

As a Compliance Representative you will work in Enterprise Compliance and join the eMonitoring team. You will be a part of a team responsible for reviewing electronic communications of Fidelity employees to discern potential violations of applicable Broker Dealer and Investment Advisor regulations and Fidelity policies.

Expertise We Are Looking For:

  • Friendly, personable and professional.
  • Great customer service skills.
  • 0-2 years’ experience
  • Experience with other financial services clients or the like preferred.
  • Ability to work in a team environment.
  • Detail oriented a must.
  • Strong Analytical and problem solving skills.
  • Excellent communication skills.
  • Basic knowledge of Compliance policies and procedures
  • Investigative, Audit, brokerage, mutual fund operations or financial services experience preferred

Skills You Bring:

  • Your review of a high volume of electronic communications flagged as potential violations of policies via the eMonitoring tool
  • Apply knowledge of regulations and Fidelity policies to each and every communication to determine if there is a potential violation
  • Leverage analytical and detail oriented skills in order to conduct research as needed to understand the exact nature or meaning of individual electronic communications
  • Your ability to maintain a working knowledge of all Compliance, Ethics and Human Resources policies.  In order to detect possible violations, you must regularly review the relevant policies and participate in group trainings/discussions regarding the application of the policies
  • Willingness to participate in and contributing to department-wide initiatives as appropriate
  • Work with your manager to continually evaluate current monitoring systems for efficiency and controls
  • Your expertise in handling extremely sensitive and confidential information on behalf of any Fidelity business unit and its employees

Value You Deliver:

As a Compliance Representative you will work closely with Business Unit Colleagues, Supervisors and other Fidelity associates as needed to effectively review and escalate issues related to electronic communications. You must be able to professionally and effectively communicate issues and resolutions by demonstrating knowledge of the applicable policies.

How Your Work Impacts the Organization:

As part of a team responsible for reviewing electronic communications of Fidelity associates, you are helping to ensure our adherence to applicable regulations and Fidelity related policies. 

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