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Compliance Analyst - Legal Operations Fidelity TalentSource is hiring a Compliance Analyst - Legal Operations to work at Fidelity in Smithfield, RI! The Role You will be involved with the general administrative support of the team. This includes reviewing incoming legal documents, completing data capture, identifying any deadlines associated with all requests, telephone communication with internal associates or external requestors, attorneys or customers regarding time extensions or status updates. The candidate is expected to be able to identify and prioritize risk exposures surrounding subpoena inquiries and promptly call out to management. This function provides enterprise wide support to all retail businesses. <ul> <li>Provide mail review of subpoena documents received and analyze subpoena requests. </li><li>Review and respond to LAWS requests received from the litigation department regarding court order and subpoena productions. </li><li>Track incoming non-class action checks and work with accounting to ensure timely deposits </li><li>Interact with attorneys, and customers as necessary, often requesting additional time to respond to subpoenas. </li><li>Support manager in creating workflows for team trainings and maintain the Legal Operations Group SharePoint site. </li><li>Make edits to P&amp;P as guided by manager. </li><li>Maintain a daily volume report for Levy, Court Order, Subpoena workflows. </li><li>Respond to negative subpoenas, negative sheriff levies, negative chapter 7 bankruptcy requests. </li><li>Provide support to analysts regarding redaction of information from subpoena productions. </li><li>Be familiar with Fidelity's Privacy requirements </li></ul> The Expertise and Skills You Bring <ul> <li>Bachelor's degree and/or equivalent (1-3) years of legal, compliance and/or regulatory experience </li><li>Experience in the financial services industry or legal setting </li><li>Paralegal certificate a plus </li><li>Excellent interpersonal skills </li><li>Strong command of the written language </li><li>Excellent organizational and time-management skills </li><li>Proficient PC skills including the ability to effectively use Microsoft Office Suite programs </li><li>Working knowledge of Fidelity systems including FBSI, XTRAC, IRF, Brio, One View and View Direct is a plus </li></ul> The Team Legal Operations is part of the Fidelity Enterprise Compliance Operations. We support Fidelity Brokerage Services, LLC, Fidelity Management Trust Company and National Financial Services, LLC. We provide legal support to these entities by responding to legal process such as subpoenas, garnishments, and other orders from the court. We interact with in-house counsel, Fidelity’s Financial Intelligence Unit team, AML, Fraud and PI Risk. The hourly pay rate range for this position is $27-$32 per hour. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors.

Fidelity TalentSource

Compliance Analyst

Transaction Processor Fidelity TalentSource is your destination for discovering your next temporary role at Fidelity Investments. We are currently sourcing for a Transaction Processor in Westlake, TX and Smithfield, RI! Do you want to work for a fast paced, growing organization where people make the difference? Do you flourish with providing exceptional client service? Join us as a Transaction Processor where you will assist in servicing and processing transactions for our Custody clients. The expertise we’re looking for <ul> <li> 1 year of financial or customer services experience or equivalent work experience </li><li> Consistent record in high volume, high paced data centric processing environment </li><li> Customer oriented </li><li> High school diploma </li></ul> The purpose of your role The Transaction Service Representative (TSR) will work in a centralized Operations team, which consists of Money Movement, TOA, and New Account/Maintenance associates. Associate will work on all operational requests submitted from Fidelity Custody Advisors and Service Teams, ranging from fundamental/simple transactions to specialty/complex transactions. The TSR will be expected to master the fundamental processing queues and will be responsible for the accurate and timely processing of the transaction requests, ultimately providing a positive overall operational experience for those clients. To be successful in this role, one must have or gain a working knowledge of several Fidelity processing and workflow systems. Representatives are expected to be key contributors to a positive workplace environment, process improvement, and demonstrate a strong commitment to partnership and shared success. They are expected to own their professional development plan and acquire additional skills that ensure continued growth in and effective contribution to the organization. Representatives are expected to consistently track and maintain performance metrics related to productivity and quality. The skills you bring <ul> <li> Your ability to work well on teams and in fast-paced, cross-collaborative environments. </li><li> You think analytically and deliver solutions to complex challenges. </li><li> You take pride in your work and have a detail-oriented mindset. </li><li> Your eagerness to learn is driven by self-motivation, curiosity, and ability to ask questions. </li><li> You have intermediate to advanced knowledge of Microsoft Office applications. </li></ul> The value you deliver <ul> <li> Providing exceptional service to all of our clients by processing their requests in an accurate and timely manner. </li><li> Driving high satisfaction, quality and efficiency for both the client and Fidelity. </li><li> Delivering superior results quickly and efficiently, using effective time management skills. </li><li> Driving innovation through curiosity and comprehensive understanding of business processes and challenges. </li><li> Bringing energy and excitement to your role every day. </li></ul> How your work impacts the organization The Client Experience (CE) division drives the service strategy for clients of Fidelity Clearing &amp; Custody Solutions ("FCCS"), which includes banks and broker dealers in the clearing space and registered investment advisors ("RIA"), professional asset managers, strategic acquirers, and retirement advisors and administrators in the custody space. CE provides clients with support of daily activities and overall business strategy in an effort to optimize their experience with Fidelity; in the areas of implementation support, technology services, deployment and client training, analysis and data processing, in addition to client management and service support. Please see the below pay rate for the work location of Rhode Island only: $22.00 per hour. Placement in the range will vary based on job responsibilities and scope, geographic location, candidate’s relevant experience, and other factors. Dynamic Working Fidelity’s hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office. Company Overview Fidelity TalentSource, formerly Veritude, 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 recruit individuals from a variety of 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 diverse and inclusive workplace while expanding your skills and developing your professional network, consider a role with Fidelity TalentSource. For information about working at Fidelity TalentSource, visit FTSJobs.com. Fidelity TalentSource will reasonably accommodate applicants with disabilities who need adjustments in order to complete the application or interview process. Please email us at <a href="mailto:HR@ftsjobs.com" target="_blank">HR@ftsjobs.com</a> if you would like to request an accommodation. Information about Fidelity Investments At Fidelity, we are focused on 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 championing 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 experiences. Fidelity Investments and Fidelity TalentSource are equal opportunity employers.

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