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.
• 5+ years of Defined Contribution client service experience, including consulting with plan sponsors, leading through escalated issues, supporting sales efforts, and assisting with service implementation.