Financial Services Regulatory Compliance Specialist

5 days ago


Westlake, Ohio, United States Fidelity TalentSource LLC Full time
Job Description

The Financial Services Regulatory Compliance Specialist plays a critical role in ensuring the smooth execution of restricted stock transactions for high net worth clients, including executive suite officers, corporate directors, and holders of restricted stock. This involves acquiring accurate clearances and making regulatory filings as needed, all while adhering to SEC regulations and each issuer s own policies and procedures.

This position requires strong analytical and communication skills, as well as the ability to work effectively under pressure and within tight deadlines. The successful candidate will have a solid understanding of Fidelity systems, such as XTRAC and FBSI, and be able to administer Rule 10b5-1 trading plans for Custody and FFOS clients.

About the Role

As a member of the Restricted Stock Services team, you will be part of a small, highly motivated group of professionals dedicated to delivering outstanding service with a keen eye towards regulatory compliance. You will interact with clients, corporate securities counsel, and transfer agents to provide a seamless client experience.

Requirements
  • Bachelor s degree preferred
  • 2-3 years of Financial Services experience preferred
  • Strong verbal and written communication skills
  • Ability to work under pressure and within tight deadlines
  • Solid understanding of Fidelity systems (XTRAC, FBSI)
Salary Information

We offer a competitive salary range of $60,000 - $80,000 per year, depending on experience. In addition, we provide a comprehensive benefits package, including health insurance, retirement savings plan, and paid time off.



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