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Operations and Regulatory Compliance Specialist Senior
2 months ago
About Fidelity Investments
Fidelity Investments is a leading financial services company that has been helping Canadian investors build better financial futures for over 35 years. We offer a range of trusted investment portfolios and services, and we're constantly seeking new and better ways to help our clients.
Our Culture
We're a diverse and dedicated group of people who make a real difference for our clients and communities every day. We offer 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.
Job Summary
We're seeking a highly skilled Operations and Regulatory Compliance Specialist Senior to join our Compliance Department. As part of the Fidelity Oversight Division, this role will be 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.
Key Responsibilities
- Complete regular monitoring and reporting on operational compliance matters
- Maintain and update compliance policies
- Prepare and present materials for executive committees
- Provide ongoing support on regulatory matters to various business units
- Support the review and approvals of sales communications
- 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
Requirements
- 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
What We're Looking For
- 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
