Senior Investment Compliance Specialist

4 weeks ago

Toronto, Ontario, Canada Fidelity Investments Full time

Job Summary

Fidelity Investments Canada is seeking a highly skilled Investment Compliance Analyst to join our team. As a key member of our Investment Compliance program, you will provide advisory services, act as a resource, and assist 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.

  • Senior Investment Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    Job DescriptionAs a Senior Investment Compliance Analyst at Fidelity Investments, you will play a critical role in ensuring the company's investment products and services comply with regulatory requirements. This is a 6-month contract opportunity that offers a flexible hybrid schedule as part of Fidelity's dynamic working arrangement.Current work...

  • Senior Investment Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    Job SummaryFidelity Investments Canada is seeking a highly skilled Investment Compliance Analyst to join our team. As a key member of our Investment Compliance program, 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...

  • Senior Investment Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    Job SummaryFidelity Investments Canada is seeking a highly skilled Investment Compliance Analyst to join our team. As a key member of our Investment Compliance program, 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...

  • Senior Investment Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    Job SummaryThe Investment Compliance Analyst Sr. role at Fidelity Investments Canada involves providing advisory services and assisting in the development of compliance standards for investment management activities.Key ResponsibilitiesSupport the FIC Investment Compliance program by working with FIC Traders and other members of the investment teams to...

  • Investment Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada undisclosed Full time

    Job Title: Investment Compliance SpecialistJob OverviewThe Investment Compliance Specialist will be responsible for assisting the Investment Management Compliance team with real-time and post-trade monitoring and portfolio management compliance oversight.Key ResponsibilitiesInvestigate and resolve trading compliance breaches arising from pre-trade and...

  • Senior Financial and Operations Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Senior Financial and Operations Compliance ExaminerAs a key member of the Investment Industry Regulatory Organization of Canada, we are seeking a highly skilled Senior Financial and Operations Compliance Examiner to join our team.Key Responsibilities:Analyze and verify the accuracy and completeness of submitted informationIndependently review and...

  • Senior Investment Specialist

    5 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleAs a Senior Investment Specialist at Fidelity Investments, you will play a crucial role in providing exceptional service to our clients by administering registered and non-registered accounts and executing transaction requests for various account types. This includes Family Plan, Private Investment Program, Large Account Pricing Program,...

  • Senior Compliance Testing Specialist

    6 days ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job DescriptionWe are seeking a highly skilled Senior Compliance Testing Specialist to join our GBM&T Compliance Department in Canada.About the RoleThis is a critical position that will lead the compliance testing engagements for Scotiabank's Canada operations, covering Canadian regulations applicable to all of Scotiabank's Canadian broker-dealer, banking,...

  • Investment Compliance Expert

    6 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    OverviewFidelity Investments Canada is seeking a skilled Investment Compliance Expert to provide advisory services and support the development of compliance standards for investment management activities.Responsibilities:Support the FIC Investment Compliance program by working with traders and other members of the investment teams to answer queries and...

  • Senior Business Conduct Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada Investment Industry Regulatory Organization of Canada Full time

    Job Title: Senior Business Conduct Compliance ExaminerDepartment: Business Conduct ComplianceLocation: TorontoStatus: Fixed term, Full-time - 12 months (Hybrid)As a self-regulatory organization, the Investment Industry Regulatory Organization of Canada (IIROC) takes its responsibility to maintain a fair and orderly market seriously. In this role, you will be...

  • Senior Regulatory Compliance Specialist

    6 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleWe are seeking a highly skilled and experienced Senior Regulatory Compliance Specialist to join our team at Fidelity Investments Canada ULC. In this role, you will be responsible for ensuring that our company is in compliance with various regulatory requirements, including those related to securities, mutual funds, and other financial...

  • Senior Financial Compliance Specialist

    6 days ago

    Toronto, Ontario, Canada TalentSphere Staffing Solutions Full time

    Are you a detail-oriented accounting professional looking for a new challenge? We have an exciting opportunity for a Senior Financial Compliance Specialist to join our client, a successful investment management firm in downtown Toronto.About the RoleWe are seeking a highly skilled and experienced Senior Financial Compliance Specialist to support the growth...

  • Senior Operations and Regulatory Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity 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 ResponsibilitiesDevelop and maintain compliance...

  • Senior Counsel, Investment Funds Specialist

    2 weeks ago

    Toronto, Ontario, Canada undisclosed Full time

    Job SummaryUndisclosed is seeking a highly skilled Senior Counsel, Investment Funds Specialist to join its Asset Management Division. The successful candidate will provide expert legal support to the division, focusing on investment fund manager and portfolio manager matters.Key Responsibilities:Creating new investment products, including mutual funds,...

  • Senior Manager, Investment Operations and Compliance

    1 month ago

    Toronto, Ontario, Canada Ontario Power Generation Full time

    Job Title: Senior Manager, Investment Operations and ComplianceOntario Power Generation (OPG) is seeking a highly skilled and experienced Senior Manager, Investment Operations and Compliance to join our team. This is an exciting opportunity to work in a dynamic environment where you will contribute to OPG's continued growth and success in generating safe,...

  • Regulatory Compliance Specialist

    5 days ago

    Toronto, Ontario, Canada AGF Investments Full time

    About AGF InvestmentsWe are a leading independent asset management firm with a global presence.Job SummaryWe are seeking an experienced Regulatory Compliance Specialist to join our team. As a key member of our compliance department, you will be responsible for ensuring that our marketing and sales communication materials comply with regulatory...

  • Senior Media Investment Specialist

    5 days ago

    Toronto, Ontario, Canada Mediabrands Full time

    We are seeking a talented Senior Media Investment Specialist to join our team at Mediabrands, a leading global media agency. With over 40 years of experience in the industry, we have established ourselves as pioneers, thought leaders, and mavericks.As a Senior Media Investment Specialist, you will play a crucial role in executing and overseeing negotiations...

  • Senior Investment Operations Specialist

    5 days ago

    Toronto, Ontario, Canada NBC Full time

    Job OverviewWe are seeking a highly skilled and experienced Senior Investment Operations Specialist to join our team in Toronto.This is an excellent opportunity for a professional who wants to take their career to the next level and make a significant impact in the financial industry.

  • Regulatory Compliance Senior Specialist

    7 days ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleWe 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...

  • Senior Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments Canada ULC is seeking a highly skilled and experienced Compliance Specialist to join our team. As a key member of our Compliance Department, you will be responsible for ensuring that our operations and regulatory compliance programs are continuously monitored, communicated, and updated to meet the requirements of various...