Norm Ashkenas

SVP, Head of Compliance


Norm Ashkenas is SVP and Head of Compliance for Fidelity Institutional & Fidelity Brokerage Technology, and CCO for National Financial Services and Fidelity Distribution Co, the clearing, custody, intermediary, capital markets and brokerage technology divisions of Fidelity Investments. He was previously Head of Compliance for Fidelity Personal Investments, and the Chief Compliance Officer for FBS, running Broker/Dealer, Investment Advisor, Trust and Insurance compliance for Fidelity Investments’ retail, wealth management and retirement business.  He has been with Fidelity since 2003 in various compliance leadership roles, covering B/D, IA, Insurance, ERISA/Tax Trust and TA issues.  He has also been CCO for Fidelity Personal and Workplace Advisors, Fidelity Distributors Corporation and Fidelity Personal Trust.  Mr. Ashkenas was SVP for Regulatory and Compliance Examinations with Prudential Securities Inc., and VP/Associate General Counsel for 10 years, and was a litigation attorney with Chemical Bank.  Mr. Ashkenas serves on the FINRA Statutory Disqualification Committee and FINRA Large Firm Advisory Committee, and is a current member and the past Chair for the Board of Directors for the National Society of Compliance Professionals.  He has served as the Chair and the Vice Chair for the FINRA National Adjudicatory Council, and on the FINRA Membership, District 11 and Regulatory Advisory Committees.  Mr. Ashkenas has spoken frequently at industry conferences including FINRA Annual and Regional Conferences, SIFMA Compliance & Legal Division Annual & Regional Seminars and NSCP National & Regional Seminars.  He earned a BA from Northwestern University and a JD from Fordham Law School, and holds Series 7, 14, 24 & 63.

Related Sessions

View full schedule