Operations and Regulatory Compliance Manager

3 months ago

Toronto, Canada Fidelity Investments Full time

Job Description

This is a fixed term contract role ending in June 2026.

Who We Are

At Fidelity, we’ve been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services - and we’re constantly seeking new and better ways to help our clients. As a privately owned company, we boldly embrace innovation in all areas as we continue to grow our business into the future.

Working with us means you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you’ll feel valued and supported to be your best - both personally and professionally.

Business Overview:
As part of the Fidelity Oversight Division, the Compliance Department is responsible for establishing and maintaining compliance policies for Fidelity Investments Canada ULC, and reporting to various committees and Senior Management on material compliance matters and regulatory developments.

Role Overview:
As the Operations and Regulatory Compliance Manager, you will report to the Director, Operations and Regulatory Compliance. You will be an individual contributor, completing regular monitoring and reporting on operational compliance matters, maintaining and updating compliance policies, preparing and presenting materials for executive committees, and providing ongoing support on regulatory matters to various business units. Additionally, you are responsible for ensuring compliance standards related to short-term trading, transfer agency errors and escalations, sales communications, securities regulations, institutional programs, privacy, registered plans, estates, conflicts of interest, are continuously and accurately monitored, communicated and updated.

You will also be responsible for supporting the Director, Operations and Regulatory Compliance in the preparation of regulatory filings, management and board reporting and representing the Compliance Department on corporate initiatives and projects. The individual ensures compliance standards are continuously and accurately monitored, communicated and updated for the programs related to securities regulations.

What You Will Do:

- Continuous improvement of various Compliance programs which may include, but not limited to: Sales Communications Policy, Privacy, FATCA/CRS, Short-Term Trading, Transfer Agency Error Corrections, and institutional programs.
- Represent Compliance, establish strong relationships, and implement compliance accountability on projects initiated by stakeholders across the organization.
- Keeping up to date with regulatory changes and staff notices to support the creation or update of policies and procedures related to Operations and Regulatory Compliance.
- Support the business by creating, updating and implementing different training and communications to keep stakeholders at all levels informed of developments and changes that may affect them.
- Proactively identify emerging risks and continuously seek to enhance departmental efficiency.
- Support the Director, Operations and Regulatory Compliance in the preparation of regulatory filings and reporting.
- Prepare and review monthly and quarterly reporting and presentation materials used for internal management committees and Board Committees.
- Manage and lead the resolution of escalated regulatory matters.
- Support the business by creating, updating and implementing different training and communications to keep stakeholders at all levels informed of developments and changes that may affect them.
- Analyze Compliance programs and monitoring processes to identify areas of improvement or where automation can streamline the process.

What We’re Looking For:

- Completion of post-secondary education or university degree, or equivalent work experience
- Minimum of 6 years of financial services or mutual fund manager experience, including most recently 2 years in a Compliance or related role at a financial services company.
- Canadian Securities Course (CSC) or Canadian Investment Funds Course (IFIC) or comparable course required, or willingness to enroll within 6 months of hiring
- Experience in mutual fund operations or client services is an asset
- Bilingualism in English and French is an asset

The Expertise You Bring:

- You are knowledgeable about various mutual fund regulations, including NI 31-103, NI 81-102, NI 45-106, PIPEDA, FATCA/CRS, and Estates Law.
- Good understanding of fund manager operational practices and possess a good understanding of mutual fund compliance and operations.
- You are an excellent verbal and written communicator and have strong research and analytical skills
- You work well under pressure, adapting and working effectively in a variety of situations with numerous management levels.
- You possess a good underst

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