Compliance Risk Specialist

2 weeks ago

Covington, Kentucky, United States Fidelity Talentsource Llc Full time

Position Overview

Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Risk Analyst to work at Fidelity Investments.

Key Responsibilities

The primary responsibilities of the Risk Analyst include supporting the Enterprise Compliance Management's Anti-Money Laundering (AML) initiatives and ensuring adherence to the USA PATRIOT Act regulations, particularly section 326 of the Customer Identification Program.

Your role is crucial in maintaining compliance with the company's AML program and ensuring that all regulations are met. Communication will primarily be with internal teams across various business lines, including retail, family office, Institutional Wealth Services, and health savings.

Qualifications
  • Bachelor's degree is required.
  • Strong interpersonal skills, both written and verbal, are essential for effective communication with internal stakeholders and clients.
  • Ability to manage time-sensitive requests while employing strong research and information-gathering techniques.
  • Capability to handle multiple cases and prioritize tasks effectively.
  • Ability to work collaboratively as part of a team, as well as independently.
  • Willingness to learn Fidelity systems, including FBSI, FDOT, IRF, and XTRAC.
Desired Skills
  • Highly motivated, adaptable, and quality-focused team player.
  • Interest in quickly mastering Fidelity systems, including FBSI, CACTUS, IRF, XTRAC, and FDOT.
  • Ability to balance multiple cases and prioritize effectively.
  • Broad knowledge of the financial services industry is strongly preferred.
Value Proposition
  • Comprehension of the USA PATRIOT Act, Section 326, and any subsequent updates or guidance from regulatory bodies.
  • Effective communication with relevant business liaisons and timely escalation of issues to management.
  • Reviewing incoming Customer Identification Program (CIP) incidents and conducting research to ensure compliance while minimizing risk.
  • Communicating compliance requirements to clients as necessary and addressing issues promptly with senior team members or management.
  • Adhering to strict timelines and compliance schedules to mitigate risk while maintaining a positive client experience.
  • Engaging in ongoing systems and process improvements and participating in testing new system functionalities.
  • Providing backup support for other functional groups as needed.
Work Environment

Safety is our top priority. Once we can be together in person with fewer safety measures, this role will follow our dynamic working approach, balancing onsite and remote work based on the role's needs.

Company Overview

Fidelity TalentSource is the in-house temporary staffing provider for Fidelity Investments, one of the largest and most diversified global financial services firms. We welcome individuals from all backgrounds to fill assignments across Fidelity's U.S.-based locations. If you are looking to experience Fidelity's supportive and collaborative culture while expanding your skill set, consider a role with Fidelity TalentSource.

We believe in building an enduring culture of inclusion and belonging.

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