Senior Operations and Regulatory Compliance Specialist
1 week ago
About the Role
Fidelity Investments Canada ULC is seeking a highly skilled Senior Operations and Regulatory Compliance Specialist to join our Compliance Department. As a key member of our team, you will be responsible for ensuring the accuracy and effectiveness of our compliance policies and procedures.
Key Responsibilities
- Develop and maintain compliance policies and procedures to ensure adherence to regulatory requirements.
- Conduct regular monitoring and reporting on operational compliance matters.
- Prepare and present materials for executive committees and regulatory bodies.
- Provide ongoing support on regulatory matters to various business units.
- Act as subject matter expert for reviewing and approving advertisements and sales communications.
- Represent Compliance and establish strong relationships with stakeholders across the organization.
- Keep up to date with regulatory changes and staff notices to support the creation or update of policies and procedures.
- Support the business by creating, updating and implementing different training and communications.
- Conduct and document compliance monitoring results.
- Develop new and update existing compliance policies to comply with applicable regulations.
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.
About Fidelity Investments Canada ULC
Fidelity Investments Canada ULC is a leading provider of investment products and services in Canada. We offer a range of trusted investment portfolios and services to individuals and institutions, and are committed to helping our clients build better financial futures.
What We Offer
- A dynamic and inclusive work environment.
- A wide range of opportunities for career growth and development.
- A competitive compensation and benefits package.
How to Apply
If you are a motivated and experienced professional looking for a challenging and rewarding role, please submit your application.
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