Company Info

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.

What you’ll do

*Please note this is a 6 month contract

You will be working on a flexible hybrid schedule as part of Fidelity’s dynamic working arrangement. Current work authorization for Canada is required for all openings.

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.

How you will make an impact

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.

Qualifications

What We Are 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

Additional Information

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 legally-protected 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 FidelityCanadaStaffing@fidelity.ca.

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

•    Canada’s Top 100 Employers
o    Greater Toronto’s Top Employers
o    Canada’s Top Family-Friendly Employers
o    Canada’s 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 Today’s 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 – 5-Star Benefit Program
o    HRD – 5-Star Diversity & Inclusion Employer

Designations
•    Canadian Compassionate Companies – Certified
•    Benefits Canada’s Workplace Benefits Award – Future of Work Strategy
•    TalentEgg National Recruitment Excellence Award – Special Award for Diversity & Inclusion in Recruiting
•    Canadian HR Reporter’s Most Innovative HR Team