Senior Investment Compliance Analyst

Description

Please note this is a 6 month contract

Company Overview

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.

The Opportunity

The Investment Compliance Analyst Sr. is responsible for providing advisory services, acting as a resource and assisting in the development of compliance standards relating to investment management activities for Fidelity Investments Canada.

What You Will Do

Support the FIC Investment Compliance program.

Work with FIC Traders and other members of the investment teams to answer regular and ad hoc queries.

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

Determine needs and prioritization of new initiatives and work with other internal service providers to determine how compliance requirements can be fulfilled.

Obtain and filter relevant trading data and compliance reports from in- house trading systems and data

Collaborate with other global compliance teams to ensure reporting consistency

Review, investigate and potentially escalate trading exceptions on a daily basis

Independently test and verify investment guideline limits and rule methodologies for National Instrument 81-102 mutual funds and separate accounts

Provide summary reporting on compliance 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.

Answer questions from external parties on internal processes and oversight programs

Work with other functional teams to oversee funds

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

Work and provide support to other teams from an Investment Compliance perspective

Work with other teams 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.

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

Coordinate with other departments across the company to gather data for responses to regulatory inquiries.

Remain on top of external industry and regulatory changes that may affect decisions from within investment compliance.

Assist in any ad hoc projects providing timely and accurate completion of project deliverables by deadlines.

What We’re Looking For

3+ years of relevant compliance experience in asset management space

Compliance related experience with focus on investments and experience in asset management / mutual fund company

University degree in business administration, finance, economics, other related field or equivalent work experience

Canadian Securities Course or equivalent designation is a must have

Designations such as CFA, CPA, FRM or other professional designation is an asset