Deborah Adegun

Associate Compliance Analyst @Fidelity Investments

Westlake, TX, US

Manage and submit initial and amended FINRA registration applications (Forms U4/U5), ensuring accuracy and regulatory compliance.Determine reportability of associate disclosures and escalate complex cases in line with FINRA and state regulations.Serve as a key point of contact for associates, providing guidance on registration status, licensing, and regulatory requirements.Collaborate with internal teams and external regulatory agencies (e.g, FINRA, SROs, state departments) on licensing matters.Educate associates and Supervisory Principals on compliance procedures related to FINRA registrations and insurance licenses.Analyze regulatory updates and assess business impacts, escalating compliance risks as needed.

University of North Texas

Master of Arts - MA

University of Houston Law Center

Pre-Law Fellow

University of North Texas

Bachelor's degree