Investment Compliance Manager
Investment Compliance Manager
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Job Description
Job Description
*You will be working on a flexible hybrid schedule as part of Fidelitys dynamic working arrangement.
Current work authorization for Canada is required for all openings.
Company Overview
At Fidelity weve 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 were 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 youll be part of a diverse and dedicated group of people who make a real difference for our clients and communities every day. Youll have a wide range of opportunities to grow and develop your career in an inclusive environment where youll feel valued and supported to be your best both personally and professionally.
The Opportunity
As a member of the Fidelity Canada Investment Compliance team the Investment Compliance Manager provides support to business units through the provision of education guidance and interpretation of rules and regulations to ensure statutory and regulatory requirements are fulfilled. The Investment Compliance Manager is involved in all aspects of the investment compliance process. The primary role is to assist in the evaluation development maintenance and oversight of the compliance program as it relates to the investment compliance process.
What You Will Do
Develop and/or maintain appropriate oversight mechanisms for compliance policies exceptions and the compliance program.
Liaise with portfolio managers to respond to investment compliance issues and questions
Liaise with the trading team to respond to investment compliance issues and questions
Ensure compliance with Canadian laws and regulations relating to investment activities and registrations with the Canadian securities regulators
Work with the legal department on prospectus wording for funds to ensure consistency of drafting and application
Assist in developing oversight mechanisms for the investment programs of all other Fidelity Investments Canada funds
Respond to inquiries from the securities commissions relating to investment compliance and Portfolio Management registration
Work with the compliance and legal departments on any audits (by auditors or regulators) of Fidelity Investments Canada investment compliance programs or issues that may arise
Obtain and filter relevant trading data and compliance reports from trading systems and data warehouses for daily compliance monitoring analysis
Review and investigate trading exceptions on a daily basis including best timely and fair allocation timely market abuse and other conflicts
Report to appropriate management committees and boards of directors on the investment compliance program or issue
What Were Looking For
University degree or equivalent work experience
5 years in the financial services industry preferably in an Investment Compliance function
Experience working with all asset classes and derivatives
Experience working directly with portfolio managers and traders is an asset
CFA or working towards designation is a nice to have
Successful completing of these following courses is an asset: Derivatives Fundamental Course (DFC) Canadian Securities Course (CSC)/ Investment Funds in Canada (IFC) Partners Directors and Senior Officer course (PDO) Securities or Mutual Fund
What You Will Bring
Thorough understanding of Canadian securities laws and regulations applicable to fixed income products and trading
Experience of trade/portfolio compliance monitoring ideally using Charles River systems
Advanced IT skills including Microsoft Office particularly Word Excel and Outlook;
Bloomberg would be an advantage
Strong analytical and problemsolving abilities as well as attention to detail
Excellent communication skills and ability to work independently and as a member of a multidisciplinary team
Fidelity Benefits and Perks!
Competitive total compensation package
Opportunity to participate in Fidelity profitsharing program
Company contributes into your RRSP without a matching requirement from you
Health benefits and coverage with no requirement for employee paid premiums including up to $5000 for therapy
Health Care Spending Account
TELUS Health Virtual Care app
Health and Fitness Reimbursement
Up to $650 for home office equipment
Generous time off policy
2 paid days annually to volunteer
Access to over 11000 training and development courses
Tuition reimbursement
Monetary awards for completing a required designation
Annual dues reimbursement for professional designations
Pregnancy/Parental/Adoption Leave Fidelity will topup to 100 of your salary for a period of25 weeks
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 legallyprotected 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:
Awards
Canadas Top 100 Employers
o Greater Torontos Top Employers
o Canadas Top FamilyFriendly Employers
o Canadas Top Employers for Young People
Great Place To Work Certified
o Best Workplaces for Inclusion
o Best Workplaces for Mental Wellness
o Best Workplaces for Todays Youth
o Best Workplaces for Women
o Best Workplaces in Financial Services & Insurance
o Best Workplaces in Ontario
o Best Workplaces with Most Trusted Executive Teams
LinkedIn Top Companies in Canada
Human Resource Director (HRD) Best Place To Work
o HRD 5Star Benefit Program
o HRD 5Star Diversity & Inclusion Employer
Designations
Canadian Compassionate Companies Certified
Benefits Canadas Workplace Benefits Award Future of Work Strategy
TalentEgg National Recruitment Excellence Award Special Award for Diversity & Inclusion in Recruiting
Canadian HR Reporters Most Innovative HR Team
Required Experience:
Manager
Employment Type
Full-Time
