Senior Investment Compliance Specialist

3 weeks ago

Toronto, Ontario, Canada Fidelity Investments Full time

About the Role

Fidelity Investments Canada is seeking a highly skilled Investment Compliance Analyst Sr. to join our team. As a key member of our compliance team, you will be responsible for providing advisory services, acting as a resource, and assisting in the development of compliance standards relating to investment management activities.

Key Responsibilities

  • Support the FIC Investment Compliance program by working with FIC Traders and other members of the investment teams to answer regular and ad hoc queries.
  • Provide information and guidance on interpretation of rules and analysis of information based on requester's needs.
  • Determine needs and prioritization of new initiatives and work with other internal service providers to determine how compliance requirements can be fulfilled.
  • Obtain and filter relevant trading data and compliance reports from in-house trading systems and data.
  • Collaborate with other global compliance teams to ensure reporting consistency.
  • Review, investigate, and potentially escalate trading exceptions on a daily basis.
  • Independently test and verify investment guideline limits and rule methodologies for National Instrument 81-102 mutual funds and separate accounts.
  • Provide summary reporting on compliance program and summarize issues for regular reporting, compliance certifications, and consultant queries.
  • Through completion of oversight activities, provide attestation of compliance noting any issues encountered over the period. Gather inputs and complete regular reporting materials for boards, senior management, and other stakeholders.
  • Answer questions from external parties on internal processes and oversight programs.
  • Work with other functional teams to oversee funds.
  • Work with cross-functional groups on ongoing changes to funds through their lifecycle providing information on compliance requirements and limits.
  • Provide updates when necessary as regulatory landscape evolves in relation to the funds in different stages of their lifecycle.
  • Work and provide support to other teams from an Investment Compliance perspective.
  • Work with other teams – Asset Management Compliance & FIL Portfolio Monitoring – Work with AMC & FIL teams to answer questions on guideline interpretation, regulatory rules, fund set up, and security level questions.
  • Manage collection of inputs for regulatory queries and surveys and assist with other ad hoc projects.
  • Coordinate with other departments across the company to gather data for responses to regulatory inquiries.
  • Remain on top of external industry and regulatory changes that may affect decisions from within investment compliance.
  • Assist in any ad hoc projects providing timely and accurate completion of project deliverables by deadlines.

Requirements

  • 3+ years of relevant compliance experience in asset management space.
  • Compliance-related experience with focus on investments and experience in asset management/mutual fund company.
  • University degree in business administration, finance, economics, or other related field or equivalent work experience.
  • Canadian Securities Course or equivalent designation is a must-have.
  • Designations such as CFA, CPA, FRM, or other professional designation is an asset.

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