Reporting to the Manager Investment Compliance, the Senior Investment Compliance 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. Capture 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.
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.
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
What You Will 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.