<p>Job Description:</p> <p>The Role</p> <p>The Registered Principal associate (RP) reviews outbound communication and marketing materials to ensure compliance with applicable laws, rules and regulations and Fidelity policies. The RP is responsible for executing timely review and identification of any non-compliant materials and consulting with compliance and content owners to ensure complaint communications are distributed to customers.</p> <p>The Expertise and Skills You Bring</p> <ul> <li> <p>Series 7, 63, 24 required</p> </li><li> <p>4-year college degree preferred</p> </li><li> <p>Directly related experience including communications, marketing or compliance experience preferred</p> </li><li> <p>Knowledge of ERISA, IRS/DOL, FINRA and SEC regulations, plan design, communication and operational procedures</p> </li><li> <p>Strong ability to understand and communicate sophisticated regulatory requirements</p> </li><li> <p>Effective communicator who is skilled at interactions with employees at all levels</p> </li><li> <p>Ability to multi-task and prioritize work according to changing deliverables</p> </li><li> <p>Ability to identify potential risks and issues and use good judgement to raise concerns</p> </li><li> <p>High level of personal integrity and professionalism</p> </li></ul> <p>The Team</p> <p>We support Fidelity's 401k plan sponsors in the creation and distribution of Fidelity's participant programs and delivery of communication and education. You will work internally with key business partners like Communications Consultants, Communications Project Managers, Marketing, and Compliance to ensure all distributed communications comply with applicable laws, rules and regulations and Fidelity policies.</p> <p>Certifications:</p> <p>Series 07 - FINRA, Series 24 - FINRA, Series 63 - FINRA</p> <p>Company Overview</p> <p>Fidelity Investments is a privately held company with a mission 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.</p> <p>Join Us</p> <p>At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts peoples' lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees' Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don't need a finance background to succeed at Fidelity-we offer a range of opportunities for learning so you can build the career you've always imagined.</p> <p>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.</p> <p>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, detailed in this document, 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.</p> <p>We invite you to Find Your Fidelity at fidelitycareers.com.</p> <p>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.</p> <p>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.</p>