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Senior Investment Compliance Specialist

2 months ago

Toronto, Ontario, Canada Fidelity Investments Full time

About the Role

Fidelity Investments is seeking a highly skilled Investment Compliance Analyst to join our team. As a key member of our compliance function, you will play a critical role in ensuring the integrity of our investment management activities.

Key Responsibilities

  • Provide advisory services and support to our investment teams, ensuring compliance with regulatory requirements and internal policies.
  • Develop and maintain compliance standards and procedures, ensuring they are up-to-date and effective.
  • Collaborate with global compliance teams to ensure consistency in reporting and compliance practices.
  • Review and investigate trading exceptions, providing recommendations for improvement.
  • Test and verify investment guideline limits and rule methodologies for mutual funds and separate accounts.
  • Provide summary reporting on compliance program performance and summarize issues for regular reporting and compliance certifications.
  • Work with cross-functional teams to oversee funds, providing guidance on compliance requirements and limits.
  • Manage collection of inputs for regulatory queries and surveys, and assist with other ad hoc projects.

Requirements

  • 3+ years of relevant compliance experience in asset management, with a focus on investments and experience in asset management/mutual fund companies.
  • Canadian Securities Course or equivalent designation is a must-have.
  • Designations such as CFA, CPA, FRM, or other professional designations are an asset.

About Fidelity Investments

Fidelity Investments is a leading provider of investment products and services, with a strong commitment to integrity and compliance. We offer a dynamic and inclusive work environment, with opportunities for growth and development.