Regulatory Compliance Senior Specialist
1 day ago
About the Role
We are seeking a highly skilled Regulatory Compliance Senior Specialist to join our team at Fidelity Investments Canada ULC.
This is a hybrid role with a mix of remote and in-office working, allowing you to maintain a healthy work-life balance while being part of a dynamic and growing organization.
As a key member of the Compliance Department within the Fidelity Oversight Division, you will be responsible for establishing and maintaining compliance policies, reporting on operational compliance matters, and providing ongoing support on regulatory matters to various business units.
You will also play a critical role in ensuring compliance standards are continuously monitored, communicated, and updated for programs related to securities regulations, institutional programs, family and registered plans, privacy, estates, conflicts of interest, registrations, and more.
Responsibilities
- Develop and implement various Compliance programs, including Sales Communications Policy, Privacy, FATCA/CRS, Short-Term Trading, Transfer Agency Error Corrections, and institutional programs;
- Act as a 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;
- Represent Compliance, establish strong relationships, and implement compliance accountability on projects initiated by stakeholders across the organization;
- Maintain up-to-date knowledge of 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 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 a 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;
- A 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 the Canadian Securities Course (CSC) and/or the Canadian Investment Funds Course is an asset;
- Knowledgeable about various mutual fund regulations, including NI 31-103, NI 81-102, NI 45-106, PIPEDA, FATCA/CRS, and Estates Law;
- Excellent verbal and written communication skills, with strong research and analytical skills;
- Ability to work well under pressure, adapting and working effectively in a variety of situations with numerous management levels;
- 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.
About Us
Fidelity Investments Canada ULC has 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. As a privately owned company, we boldly embrace innovation in all areas as we continue to grow our business into the future.
We offer a competitive salary range of $80,000-$110,000 per year, based on your qualifications and experience, plus comprehensive benefits, including medical, dental, and vision coverage, and a generous retirement plan. We're proud to be an inclusive employer, committed to diversity, equity, and inclusion in the workplace.
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