Senior Analyst, Investment Compliance Job

Established in 1987, Fidelity Investments Canada Inc. (FIC), provides Canadian investors with a full range of mutual funds, ETFs and alternative funds. Fidelity funds are available through a number of channels, including financial planners, investment dealers, banks and insurance companies.

FIC manages over $184 billion (CAD) in mutual fund and institutional assets, as of June 14, 2022. This includes $45 billion in assets for institutional clients, including public and corporate-defined benefit pension plans, endowments, foundations and corporate assets on behalf of clients across Canada.

FIC has more than 1000 full time employees and is headquartered in Toronto, with regional offices in Montreal, Calgary and Vancouver.

The Opportunity

Reporting to the Manager Investment Compliance, the Compliance Monitoring Analyst Sr 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.

Fidelity Benefits and Perks!

• Hybrid work arrangements

• Competitive total compensation package

• Company contributes into your RRSP, without a matching requirement from you

• Health benefits and coverage, 100% employee paid premiums, including up to $5000 for therapy

• Health Care Spending Account

• Health and Fitness Reimbursement

• Up to $650 for home office equipment

• Generous time off policy, including 2 paid days annually to volunteer

• Access to over 11,000 training and development courses

• Tuition reimbursement

• Monetary awards for completing a required designation

• Pregnancy/Parental/Adoption Leave - Fidelity will top-up to 100% of your salary for a period of 25 weeks

Fidelity Canada is anequal opportunity employer 

Fidelity Canada is committed to fostering adiverse and inclusive workplace. We will consider all qualified applicants foremployment regardless of race, color, religion, sex, sexual orientation, genderidentity or expression, national or ethnic origin, age, disability, familystatus, protected veterans’ status, Aboriginal/Native American status or anyother legally-protected ground. 

Accommodation duringthe application process

Fidelity Canada welcomes and encouragesapplications from people with disabilities. Accommodations are available onrequest for candidates taking part in the selection process. If you require anaccommodation, please email us at FidelityCanadaStaffing@fidelity.ca.

No telephone inquiriesor agencies please. We thank all applicants for their interest, please beadvised that only those selected for an interview will be contacted.

Why Work at Fidelity?

We are proud to berecipients 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