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Senior Analyst in Investment Regulations

3 months ago

Old Toronto, Ontario, Canada Fidelity Investments Full time

Position Overview
  • This role is structured as a 6-month contractual engagement.

As part of Fidelity's flexible working model, you will enjoy a hybrid work schedule.

It is essential to have current work authorization for Canada for all positions.

Company Insights

Fidelity has been a cornerstone in aiding Canadian investors to forge better financial futures for over 35 years. We provide a variety of reliable investment portfolios and services, continuously striving to discover innovative methods to assist our clients. Being a privately held firm, we embrace creativity across all domains as we expand our business for the future.

Joining our team means becoming part of a diverse and committed group of individuals who significantly impact our clients and communities daily. You will have numerous opportunities to advance and develop your career in an inclusive atmosphere where you will feel appreciated and supported to excel both personally and professionally.

Your Role

The Senior Investment Compliance Analyst is tasked with delivering advisory services, serving as a resource, and aiding in the formulation of compliance standards related to investment management operations for Fidelity Investments Canada.

Key Responsibilities
  • Assist in the FIC Investment Compliance program.
  • Collaborate with FIC Traders and investment team members to address routine and specific inquiries.
  • Offer insights and guidance on rule interpretation and information analysis tailored to requesters' needs.
  • Identify needs and prioritize new initiatives, working with internal service providers to meet compliance obligations.
  • Gather and filter pertinent trading data and compliance reports from internal trading systems.
  • Coordinate with global compliance teams to ensure consistent reporting.
  • Review, investigate, and potentially escalate trading exceptions on a daily basis.
  • Independently assess and validate investment guideline limits and rule methodologies for National Instrument mutual funds and separate accounts.
  • Prepare summary reports on the compliance program and compile issues for regular reporting, compliance certifications, and consultant inquiries.
  • Through oversight activities, provide compliance attestation noting any encountered issues over the reporting period. Compile inputs and complete regular reporting materials for boards, senior management, and other stakeholders.
  • Respond to inquiries from external parties regarding internal processes and oversight programs.
  • Collaborate with other functional teams to oversee funds.
  • Engage with cross-functional groups on ongoing fund changes throughout their lifecycle, providing insights on compliance requirements and limits.
  • Update as necessary in response to evolving regulatory landscapes affecting funds at various lifecycle stages.
  • Support other teams from an Investment Compliance perspective.
  • Work with Asset Management Compliance & FIL Portfolio Monitoring teams to address inquiries regarding guideline interpretation, regulatory rules, fund setup, and security-level questions.
  • Manage the collection of inputs for regulatory inquiries and surveys, assisting with additional ad hoc projects.
  • Coordinate with various departments to gather data for responses to regulatory inquiries.
  • Stay informed on external industry and regulatory changes that may influence investment compliance decisions.
  • Assist with any ad hoc projects, ensuring timely and accurate completion of project deliverables.
Qualifications
  • Minimum of 3 years of relevant compliance experience within the asset management sector.
  • Experience in compliance with a focus on investments, particularly within asset management or mutual fund companies.
  • A university degree in business administration, finance, economics, or a related field, or equivalent work experience.
  • Completion of the Canadian Securities Course or an equivalent designation is mandatory.
  • Professional designations such as CFA, CPA, FRM, or others are considered advantageous.

Fidelity Canada is an equal opportunity employer.

We are dedicated to fostering a diverse and inclusive workplace. All qualified applicants will be considered for employment without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans' status, Aboriginal/Native American status, or any other legally protected ground.

Accommodations during the Application Process

Fidelity Canada encourages applications from individuals with disabilities. Accommodations are available upon request for candidates participating in the selection process.

Why Choose Fidelity?

We take pride in being recognized with various awards:

Awards
  • Canada's Top 100 Employers
  • Greater Toronto's Top Employers
  • Canada's Top Family-Friendly Employers
  • Canada's Top Employers for Young People
  • Great Place To Work Certified
  • Best Workplaces for Inclusion
  • Best Workplaces for Mental Wellness
  • Best Workplaces for Today's Youth
  • Best Workplaces for Women
  • Best Workplaces in Financial Services & Insurance
  • Best Workplaces in Ontario
  • Best Workplaces with Most Trusted Executive Teams
  • LinkedIn Top Companies in Canada
  • Human Resource Director (HRD) - Best Place To Work
  • HRD - 5-Star Benefit Program
  • HRD - 5-Star Diversity & Inclusion Employer
Designations
  • Canadian Compassionate Companies – Certified
  • Benefits Canada's Workplace Benefits Award - Future of Work Strategy
  • TalentEgg National Recruitment Excellence Award - Special Award for Diversity & Inclusion in Recruiting
  • Canadian HR Reporter's Most Innovative HR Team