Risk Analyst
Fidelity TalentSource, Smithfield, RI, United States
Risk Analyst
Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments! We are currently sourcing for a Risk Analyst to work in Smithfield, RI or Covington, KY.
The Role
The duties of the Risk Analyst are to support Enterprise Compliance Management's Anti Money Laundering programs and maintain full compliance with USA PATRIOT Act regulations as stipulated specifically within section 326 of the Customer Identification Program.
The purpose of your role is to support the companies Anti Money Laundering program and maintain compliance with USA PATRIOT Act regulations. A majority of our communications are with internal employees which includes all lines of business including retail, family office, Institutional Wealth Services, stock plan services, health savings as well as Correspondent firms directly.
The Expertise We're Looking For
- Bachelor's degree required
- Excellent interpersonal skills, both written and oral, as communicating with internal business units, customers, and correspondents will be required
- Ability to meet time-sensitive requests along with strong research and information gathering techniques
- Ability to balance multiple cases and prioritize accordingly.
- Ability to work as a great teammate as well as work independently.
The Skills You Bring
- Highly motivated, flexible, quality focused, teammate
- Have the ability to balance multiple cases and prioritize accordingly.
- Broad knowledge of the financial services industry strongly preferred
The Value You Deliver
- Understanding the USA PATRIOT Act, Section 326 as well as any subsequent updates or guidance as put forth by the regulatory bodies or agencies including but not limited to the SEC, FINRA and FinCEN.
- Communicate directly with appropriate business liaisons and advance issues as appropriate to management in a timely and concise manner.
- Review incoming Customer Identification Program ("CIP") incidents and perform research to ensure compliance and also minimize risk to the firm.
- Communicate compliance requirements to clients as necessary, restrict accounts as appropriate and bring up issues in a timely manner to senior team members or management.
- In addition to research, review and escalation responsibilities, adherence to a strict timeline and compliance schedule is paramount. This is all done in an effort to mitigate risk to the firm while also minimizing any negative impact to the client experience either real or perceived.
- Develop and participate in ongoing systems and process improvements. Participate in testing of any new system functionality and adapt to changes in policies or practices as required
- Serves as backup for other functional groups as needed.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
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 in the industry. We welcome individuals from all backgrounds, including technology and customer service, to fill assignments across Fidelity’s U.S.-based regional and investor center locations. If you would like to experience Fidelity’s supportive and collaborative culture while expanding your skill set and developing your professional network, consider a role with Fidelity TalentSource. Apply today at FTSJobs.com.
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.
Fidelity TalentSource will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, please contact our HR team at HR@ ftsjobs.com.
Information about Fidelity Investments
At Fidelity Investments, our customers are at the heart of everything we do. As a privately held company with a rich 75-year history, our mission has remained the same since our founding: to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients’ money. For information about working at Fidelity, visit FidelityCareers.com.
Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Having the majority of our associates work onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most roles listed as Hybrid will require associates to work onsite all business days of every other week in a Fidelity office. This does not apply to roles listed as Remote or Onsite.
Fidelity Investments and Fidelity TalentSource are equal opportunity employers.
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