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Senior Compliance Analyst for Investments
3 months ago
Position Overview
- This role is structured as a contract position.
Engage in a flexible hybrid work model as part of Fidelity's innovative working approach.
Applicants must possess current work authorization for Canada.
Company BackgroundFidelity has been a cornerstone in assisting Canadian investors in crafting improved financial futures for over 35 years. We provide a spectrum of reliable investment portfolios and services, continuously striving to discover innovative methods to support our clients. As a privately held entity, we embrace creativity and advancement across all sectors as we expand our operations into the future.
Joining our team means becoming part of a diverse and committed workforce that significantly impacts our clients and communities daily. We offer a multitude of opportunities for career advancement in an inclusive atmosphere where you will feel appreciated and empowered to excel both personally and professionally.
Role ResponsibilitiesThe Senior Investment Compliance Analyst will deliver advisory services, serve as a resource, and assist in establishing compliance standards related to investment management activities for Fidelity Investments Canada.
Key Responsibilities- Facilitate the FIC Investment Compliance program.
- Collaborate with FIC Traders and investment team members to address routine and special inquiries.
- Provide insights and guidance on rule interpretation and information analysis tailored to the requester's needs.
- Assess needs and prioritize new initiatives, collaborating with internal service providers to fulfill compliance requirements.
- Gather and analyze relevant trading data and compliance reports from proprietary trading systems.
- Work with global compliance teams to ensure uniformity in reporting.
- Examine, investigate, and escalate trading exceptions as necessary.
- Independently verify investment guideline limits and rule methodologies for National Instrument mutual funds and separate accounts.
- Compile summary reports on the compliance program and highlight issues for regular updates, compliance certifications, and consultant inquiries.
- Through oversight activities, provide compliance attestations noting any encountered issues. Prepare 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, providing insights on compliance requirements and limits.
- Update as necessary regarding regulatory changes impacting funds at various lifecycle stages.
- Support other teams from an Investment Compliance perspective.
- Coordinate with Asset Management Compliance & FIL Portfolio Monitoring teams to address questions on guideline interpretation, regulatory rules, fund setup, and security-level inquiries.
- Manage the collection of inputs for regulatory queries 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 developments that may influence investment compliance decisions.
- Assist with ad hoc projects, ensuring timely and accurate completion of deliverables.
- A 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 organizations.
- A university degree in business administration, finance, economics, or a related field, or equivalent professional experience.
- Completion of the Canadian Securities Course or an equivalent designation is essential.
- Professional designations such as CFA, CPA, FRM, or others are advantageous.
Fidelity Canada is an equal opportunity employer, committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants 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.
Why Choose Fidelity?We take pride in our recognition as:
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
- 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
