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Investment Compliance Analyst Sr

Fidelity Investments

This is a Contract position in Toronto, ON posted October 28, 2021.

Job Description

Given the current circumstances, employee will be working from home, 100% of time. As working conditions return to normal, they will be expected to be onsite.

Purpose of the Role

Reporting to the Manager Investment Management, the Compliance Monitoring Analyst provides advisory services, acts as a resource and assists in the development of compliance standards relating to investment management activities for Fidelity Canada Investment Management and Fidelity Investments Canada.

What You Will Do

  • Support the Fidelity Canada Investment Management (“FCIM”) Investment Compliance trade surveillance program, maintaining surveillance logs and ensuring that the trade surveillance process works effectively.

    • Work with FCIM Traders and other members of the investment teams to answer regular and ad hoc queries related to trade surveillance.

    • Provide information and guidance on interpretation of rules and analysis of information based on requester’s needs.

  • Provide summary reporting on trade surveillance 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. 

  • Work with other functional teams to oversee funds and assist with project initiatives.

    • Act as the compliance resource for systems enhancements to ensure setup is seamless and in compliance with requirements.

    • 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

    • 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. Also address any concerns and provide rationale for interpretations and limit monitoring. Host regular calls to update teams on the progress of initiatives and act as the FCIM trade surveillance resource.

    • PSG Teams – Work with PSG teams to communicate compliance requirements, gather required approvals and ensure PM requirements are fulfilled. Direct work to keep information, approvals and documents up to date.

    • Portfolio Managers – Answer questions on portfolio limits and provide guidance on rule interpretation. Pull information for requests and help the PM understand how calculations are carried out.

    • Equity Trading – Participate as the compliance resource to answer questions on regulatory and internal perspectives for rules, and general monitoring issues.

  • Manage collection of inputs for regulatory queries and surveys and assist with other ad hoc projects.

What We’re Looking For

  • 3+ years of compliance related experience in asset / investment management

  • Bachelor degree, preferably with focus in Business, Economics, Accounting, and/or Finance

  • Completion of CSC (Canadian Securities Course) or equivalent designation

  • Experience in a mutual fund company is an asset

  • CFA, CPA, FRM or other professional designation is an asset

The Expertise You Bring

  • Ability to develop rapport, recognize concerns and build and maintain long-term trusting relationships.

  • Ability to express, facts and opinions to diverse audiences in a persuasive manner.

  • Knowledge of Charles River and Bloomberg.

  • Proficient in MS Office suite, Excel, Word and PowerPoint.

  • Attention to detail, self-starter and well organized.

Fidelity Canada is an equal opportunity employer

Fidelity Canada is committed to fostering a diverse and inclusive workplace. We will consider all qualified applicants for employment regardless of race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, family status, protected veterans’ status, Aboriginal/Native American status or any other legally-protected ground.

Accommodation during the application process

Fidelity Canada welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require an accommodation, please email us at

No telephone inquiries or agencies please. We thank all applicants for their interest, please be advised that only those selected for an interview will be contacted.

Why Work at Fidelity?

We are proud to be recipients of the following:


  • Canada’s Top 100 Employers (5th consecutive year) 2021
  • Greater Toronto’s Top Employers (9th consecutive year) 2021
  • Canada’s Top Family Friendly Employer (4th consecutive year) 2021
  • Imagine Canada, Caring Company
  • Canada’s Top Employer For Young People 2021
  • National HR Awards – Best Corporate Social Responsibility Program Award, Venngo Healthy Workplaces Award
  • Workplace Benefits Awards – Health and Wellness Program
  • Canadian Compassionate Companies Award


  • A Canadian Compassionate Company
  • An Imagine Canada Caring Company