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Operations and Regulatory Compliance Specialist

Fidelity Investments

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

Job Description

Business Overview

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.

Position Description

Reporting to the Manager, Operations and Regulatory Compliance, the Operations 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 individual 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.

Primary Responsibilities

  • Update existing compliance policies to comply with applicable regulations and assist with the development of new policies;

  • Keeping up to date with regulatory changes and staff notices to support the creation or update of policies and procedures related to Operations and Corporate compliance;

  • Analyze Compliance programs and monitoring processes to identify areas of improvement or where automation can streamline the process;

  • Proactively identify emerging risks and continuously seek to enhance departmental efficiency;

  • Conduct compliance monitoring in respect of various regulations, including short-term trading, registered products, estates, anti-money laundering, and other areas as required;

  • Provide ongoing compliance support to Marketing, Client Services, Sales, and other business units on compliance matters, including short-term trading, NI 81-102 (Parts 9, 10, 11), and certain operational matters including registered plan compliance, estates, and third party demands;

  • Review and approve advertisements and sales communications produced by Fidelity Canada for retail and institutional businesses in accordance with the requirements of NI 81-102 Part 15; including presentation materials, webcasts, whitepapers and various reports;

  • Act as a subject matter expert, providing compliance support on projects and assisting with the preparation and delivery of internal training and communications in respect of various regulatory requirements;

  • Continuous improvement of various Compliance programs which may include, but not limited to: Sales Communications, Estates, Substantial Security Holders, exempt market dealer and institutional programs, family and registered plans, conflicts of interest, anti-money laundering, and registrations.

What We’re Looking For

  • Post-secondary education, university degree preferred;

  • 4+ years of financial services or mutual fund manager experience, including most recently 2 years in a Compliance or related role at a financial services company preferred;

  • Knowledge of various mutual fund regulations including NI 31-103, NI 81-102, AML, and FATCA;

  • Knowledge of operational matters such as estates, registered products and short-term trading;

  • Experience in mutual fund operations or client services, an asset;

  • Completion of Canadian Securities Course (CSC) or Canadian Investment Funds Course (IFIC) or comparable course required, or willingness to complete within 6 months of start date;

  • Bilingualism (English/French), an asset.

The Expertise Your Bring

  • Work well under pressure, adapting and working effectively in a variety of situations with numerous management levels;

  • Possess a good understanding of mutual fund compliance and operations;

  • Analytical thinker with excellent research and writing skills;

  • Strong working knowledge of Microsoft Office;

  • Highly-developed organizational skills and ability to manage competing priorities;

  • Dedicated team player who works well independently and as part of a team;

  • Strong communication, interpersonal, and relationship management skills.

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

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 FidelityCanadaStaffing@fidelity.ca.

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:

Awards

  • 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

Designations

  • A Canadian Compassionate Company
  • An Imagine Canada Caring Company
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