Sr. Analyst, Financial Crimes Surveillance

Job Description:

Senior Analyst, Financial Crimes Surveillance

Note:
Fidelity will not provide immigration sponsorship for this position.

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.

• 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 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).

Please 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.