Job Overview

Toronto, Ontario
Job Type
Full Time
Salary / Compensation
Details Not Provided
Date Posted
1 year ago

Additional Details

Some Exp. Required (2 - 5 Years)

Job Description

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.


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