Regulatory Compliance Manager

1 week ago

Toronto, Ontario, Canada Fidelity Investments Full time
About the Role

This is a hybrid role with a mix of remote and in-office working. 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.

Job Description

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. As part of this team, you'll be responsible for 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.

You will ensure 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, registrations and more.

Key Responsibilities
  • 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.
  • Act as subject matter expert for reviewing and approving 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.
  • 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.
  • Conduct and document compliance monitoring results in respect of Operations and Regulatory Compliance programs.
  • Develop new and update existing compliance policies to comply with applicable regulations.
  • Prepare materials for various committees, compliance training programs and communications for regulatory updates.
  • Act as subject matter expert and provide compliance support on compliance and cross-divisional projects.
Requirements
  • A minimum of 4 years mutual fund manager or dealer experience, most recently in a Compliance or related role.
  • Post secondary degree or equivalent experience.
  • Experience in mutual fund operations or client services is an asset.
  • Bilingualism in English and French is an asset.
  • Enrollment in Canadian Securities Course (CSC), Canadian Investment Funds Course is an asset.
About You
  • You are knowledgeable about various mutual fund regulations, including NI 31-103, NI 81-102, NI 45-106, PIPEDA, FATCA/CRS, and Estates Law.
  • 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 understanding of mutual fund compliance and operations.
  • Good understanding of fund manager operational practices.
  • Excellent analytical, writing, oral communication, research, investigatory, presentation, and interpersonal skills.
  • Ability to take initiative, work independently and handle multiple tasks.
  • Excellent time management skills with the ability to work under tight deadlines.
  • Commitment to excellence.
  • Proficient in Microsoft Word, Excel and PowerPoint.
Salary and Benefits

$80,000 - $110,000 per year. We also offer a comprehensive benefits package, including health insurance, retirement savings plan, and paid time off.

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