Job Description:
Senior Analyst, Financial Crimes Surveillance
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
Working together with other surveillance personnel is paramount in this role. In addition, the role also requires candidates to build positive relationships with business partners in the following groups: Fidelity Personal Investments (PI), National Financial (NF), Fidelity Institutional Wealth Services (IWS), Fidelity Family Office Services (FFOS), Fidelity Capital Markets (FCM), FMR Legal, Fidelity Compliance, among others.
The Expertise and Skills You Bring
College degree and 4 plus years of experience in the financial services industry.
Excellent written communication skills.
Background in Customer Service phone role with outbound calling experience.
Ability to handle several tasks at once and keep track of a basket of alerts.
Knowledge of Fidelity systems including FocusPoint, FBSI, XTRAC, CACTUS, FDOT, Salesforce etc.
Understanding of financial transactions, trading markets and operations.
Familiar with corporate entities structures and offshore accounts.
FINRA Series 7 licensed preferred.
Knowledge and/or prior experience with IWS, NF, FFOS, PI.
Previous AML, Fraud, Risk, or Compliance experience is a plus.
Exercise good judgment and demonstrate outstanding decision-making skills.
Passion for teamwork and building working relationships with both internal and external business partners.
Strong time management, prioritization, and organizational skills.
Your ability to meet deadlines and work in a fast-paced environment.
Communicating and escalating findings to management and colleagues based on analysis of suspicious activity.
Conducting and coordinating ad-hoc vetting and research requests as needed.
Excellent interpersonal skills and the ability to create high quality written work.
Ability to analyze a process and suggest improvements.
The Team
The Financial Crimes Surveillance team (Formerly Anti-Money Laundering Surveillance) within Fidelity’s Enterprise Compliance Group plays a meaningful role in helping the firm meet its overall AML obligations through the Bank Secrecy Act. There are thousands of transactions that occur every day across all of Fidelity’s business divisions. The Financial Crimes Surveillance team analyzes these transactions using internal and vendor applications in an effort to detect, stop, and call out suspicious activity. We also review 'high risk' customers and entities based on the Customer Due Diligence (CDD) rule from FINCEN (Financial Crimes Enforcement Network).
Certifications:
Category:
CompliancePlease 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.
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Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
Company overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experience.
Reasonable accommodations
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, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
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.
Applicant screening
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 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.