Senior Compliance Specialist for Operations and Regulatory Matters

7 days ago

Toronto, Ontario, Canada Fidelity Investments Full time

About the Role

Fidelity Investments Canada ULC is seeking an experienced Regulatory Compliance Specialist 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.

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

  • Knowledge of 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.
  • 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.

How You'll Make an Impact

  • Continuous improvement of various Compliance programs.
  • Act as subject matter expert for reviewing and approving advertisements and sales communications produced by Fidelity Canada.
  • Represent Compliance, establish strong relationships, and implement compliance accountability on projects initiated by 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 to keep stakeholders at all levels 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 subject matter expert and provide compliance support on compliance and cross-divisional projects.

What We Offer

Fidelity Investments Canada ULC offers a dynamic and inclusive work environment, with opportunities for career growth and development. We are committed to excellence and strive to make a positive impact in the communities we serve.

About Fidelity Investments Canada ULC

Fidelity Investments Canada ULC is a leading provider of investment management and financial services in Canada. We offer a range of investment products and services to individuals, institutions and governments, and have a long history of innovation and excellence in the financial services industry.

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