Compliance Specialist

4 weeks ago

Toronto, Canada Fidelity Investments Full time

Job Description

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 to find 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.

What We Do

Reporting to the Manager, Operations and Regulatory Compliance, Compliance Specialist completes regular monitoring and reporting of operational compliance matters, maintains and updates compliance policies, assists in the preparation of presentation materials for executive committees, and provides ongoing support on regulatory matters to various business units.

The individual ensures compliance standards are continuously and accurately monitored, communicated, and updated for the programs related to securities regulations, institutional programs, family and registered plans, privacy, estates, conflicts of interest, anti-money laundering, and registrations.

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.

How You’ll Make an Impact- Update existing compliance policies to comply with applicable regulations and assist with the development of new policies.- Conduct and document compliance monitoring result in respect of various compliance programs, including privacy, anti-money laundering, anti-spam, complaints, registrations, lobbying, know-your-client (KYC), suitability and other areas as required- 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.- Analyze Compliance programs and monitoring processes to identify areas of improvement or where automation can streamline the process.- Proactively identify emerging risks and continuously seek to enhance departmental efficiency.- Provide ongoing compliance support to Marketing, Client Services, Sales, and other business units on compliance matters, including short-term trading, NI 81-102 (Parts 9, 10, 11), and certain operational matters including registered plan compliance, estates, and third party demands.- Review and approve advertisements and sales communications produced by Fidelity Canada for retail and institutional businesses in accordance with the requirements of NI 81-102 Part 15; including presentation materials, webcasts, whitepapers and various reports.-
- Continuous improvement of various Compliance programs which may include, but not limited to: Sales Communications, Estates, Substantial Security Holders, exempt market dealer and institutional programs, family and registered plans, conflicts of interest, anti-money laundering, and registrations.

What We are Looking For- Post-secondary education, university degree preferred or equivalent work experience- 4+ 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 preferred.- Knowledge of various mutual fund regulations including NI 31-103, NI 81-102, AML, and FATCA- Knowledge of operational matters such as estates, registered products and short-term trading- Experience in mutual fund operations and/or client services, an asset- Completion of Canadian Securities Course (CSC) or Canadian Investment Funds Course (IFIC) or comparable course required, or willingness to complete within 6 months of start date- Bilingualism (English/French), an asset

What You’ll Bring- Work well under pressure, adapting and working effectively in a variety of situations with numerous management levels.- Possess a good understanding of mutual fund compliance and operations.- Excellent analytical, writing, oral communication, research, investigatory, presentation and interpersonal skills.- Strong working knowledge of Microsoft Office- Highly developed organizational skills and ability to manage competing priorities.- Dedicated team player who works well independently and as part of a team.- Strong communication, interpersonal, and relationship management skills.- Ability to take initiative, work independently and handle multiple tasks.- Good understanding of fund manager and dealer operational practices- Excellent knowledge of regulations relating to mutual funds including but not limited to nat

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