Compliance Specialist

Job Description

Please note:
- Current work authorization for Canada is required for all openings.- This is a secondment/contract, ending on June 27, 2025.- You will be working on a hybrid schedule as part of Fidelity’s dynamic working arrangement.

Who We Are

At Fidelity, we’ve 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 to find 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.

Working with us means you’ll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. You’ll have a wide range of opportunities to grow and develop your career in an inclusive environment where you’ll feel valued and supported to be your best - both personally and professionally.

How You’ll Make an Impact

Reporting to the Manager, Corporate Compliance, the Compliance Specialist completes regular monitoring and reporting of operational compliance matters, maintains and updates compliance policies, assists in the preparation of presentation materials for executive committees, and provides ongoing support on regulatory matters to various business units.

The Compliance Specialist ensures 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, anti-money laundering, and registrations.

As part of the Fidelity Oversight Division, the Compliance Department is 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.

What You Will Do

1) Advisory Services - Provide ongoing compliance support to the organization on operational and corporate compliance matters.- Develop and maintain knowledge of Fidelity's operations and corporate compliance policies and procedures.-
- Remain updated on new legislation and communicate changes to impacted business units on a timely basis.- Work with legal to assist in escalated issues as needed.

2) Monitoring - Conduct and document compliance monitoring results in respect of Operations and Corporate Compliance programs.- Complete monitoring accurately and on time, escalating issues identified in a timely manner.- On an ongoing basis, proactively assess business activities and regulations that require monitoring for opportunities for improvement and increased efficiency.- Areas for improvement and remediation are identified, the status quo is effectively challenged and consensus built on recommended solutions.- Issues and action plans are captured and tracked through to remediation.- Assist with the preparation of materials for the CCO, Board, Compliance Committee, IRC and other governance committees.

3) Policy Development & Maintenance - Develop new and update existing compliance policies to comply with applicable regulations.- Policies are updated and communicated in a timely manner to reflect regulatory changes. Proactively identify policy gaps as a result of changes to the regulatory or business environment.- Liaise with relevant stakeholders to ensure appropriate procedures have been developed to comply with Compliance policies.- Complete policy reviews on a periodic basis.- Ensure timely and accurate completion of any project deliverables and participate in cross functional project teams as needed.

What We're Looking For- Minimum 3 years of experience in compliance, operations, or client services within the financial industry.- Post-secondary degree or equivalent work experience.- Completion of CSC/IFIC would be an asset.

The Expertise You Bring- Excellent verbal & written communication skills.- Excellent analytical, investigative, and research skills, being able to effectively present findings.- Strong knowledge of mutual fund regulations, and fund manager operational practices.- Proactive team player, who can also work well independently in a fast-paced environment.- Detail-oriented, with the ability to problem solve and multi-task.- Strong computer skills, including MS Suite - Word, Excel, PowerPoint.

Some of the ways we’ll help you feel valued and supported as part of our team:
- Flexible working arrangements - hybrid, and in office options.- Competitive total compensation, including company contributions to your group RRSP without a matching requirement from you.- Comprehensive health benefits that start on your first day, with 100% employer-paid premiums, that include up to $5000 annually for mental health services and therapy.- Parental leave top-up to 100% of your salary for a period of 25 weeks.- Up to $650 for home